significant components. inadequate as the group engagement team merely requested the component auditors to respond to the audit questionnaires and to communicate whether they complied with the ethical
Team FIF 05/08/2564 25-27/08/2564 2 บริษัทหลักทรัพย ฟนันเซีย ไซรัส จํากัด (มหาชน) Conf call ขอมูลและเหตุผลเพ่ือใชในการลงทุน ขอมูลในการลงทุน เปนประโยนชตอกองทุน เพ่ือประกอบการตัดสินใจลงทุน DFI Team
having successful crowdfunding campaign. Furthermore, a pitch perfect session will also be arranged for entrepreneurs to meet and present their ideas with investors.
wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
of sustainability-themed bonds. In addition, the SEC arranged the focus group session aiming to gather feedback from business operators and stakeholders on 28 March 2023. Most of the respondents
confidentiality declaration before leaving their positions. More importantly, the audit firms ought to apply additional measures to any members of an engagement team, especially senior personnel and above, who are
communicates to the engagement team? 4 Does the firm have a disclosure checklist for the audit of a listed Company? If yes, please attach a disclosure checklist If no, describe how the firm ensures financial
in replacement. For example, obligations or document with legal enforcement can be arranged. Replacement mechanisms must be clearly disclosed in the filing and drafted prospectus. The regulations will
/Documents/ActandRoyalEnactment/Act/translate-trustact.doc 6409pe.doc electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market products