determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or

between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor/QAQR-03

https://dividend.sec.or.th/stat-report/OFFER_DEBT_SHORT_EN.xlsx QAQR-04.xlsx /Guidance Notes Description 1 How is the firm dealing with the following (external issues): • challenge of real time systems

relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor

that makes it easier for investors to research and schedule engagements with companies. As a leader on corporate sustainability issues for 25 years, Ceres has seen remarkable growth in investor

.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint

markets and PX integration in NA), all of which positions us as the global leader in this 100% recyclable business. Investment plans in enhancing the recycling volumes to 750 KMT by 2025; completing the JV

Securities Group LLC ("PSG" or "the Firm") is an SEC-registered investment adviser and represents the Public Securities Group of Brookfield Asset Management Inc., providing global listed real assets strategies

a company; “head of department” means a person responsible for the work in the departmental level of a company; “branch manager” means a manager of the branch office or a person responsible for the

Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Program. The report is based in part on a template/questionnaire completed by the law firm Weerawong