Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange
Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as