followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
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
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
Firm Qualifications having audit quality mangement system which is sufficient and reliable for supervising its auditor'work in compliance with the professional standards on a continuous basis. Such
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader