Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
capital market shall comply with the following rules: (1) being a certified public accountant whose license is still valid; (2) being a leader of an audit firm or equivalent or being a partner of an audit
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the
(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
Forum (GCEF) และ Ms. Ha Thu Thanh, Chairperson of Deloitte Vietnam โดยมี Ms. Koh Miyaoi, Asia-Pacific Gender Team Leader / Advisor UNDP Bangkok Regional Hub เป็น moderator และมี H.E. Kara Owen CMG CVO
extent that such rules are not in conflict or contradiction of the principles for supervision of foreign auditors, in any case, subject to the following rules: (1) in the case where the applicant for
; particularly that partner’s performance evaluation and compensation in certain firms may not clearly reflect the extent of qualitative factors being considered by the firm’s leader in their evaluation and
): ................................................................. (..............................................................) Leader of the Audit Firm: ........................................... (Signature