systems to oversee that they are appropriate, adequate and efficient. 2 - Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and
systems to oversee that they are appropriate, adequate and efficient. 2 - Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
inspection, scope of inspection, summary of the inspection results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing
ตามแต่ละรายการ โดยการตรวจสอบมี 2 รูปแบบ ได้แก่ (1) การวัดการปฏิบัติตามข้อกำหนด (compliance check) (2) การวัดระดับความพร้อม (maturity level) (รายละเอียดตามข้อ 4.4 การตรวจสอบการควบคุม) 5 Finding สรุป
D1-D3 ผลการตรวจสอบ กรอกข้อมูลผลการตรวจสอบการควบคุมตามแต่ละรายการ โดยการตรวจสอบมี 2 รูปแบบ ได้แก่ (1) การวัดการปฏิบัติตามข้อกำหนด (compliance check) (2) การวัดระดับความพร้อม (maturity level) (รายละเอียด
Qualifications (1) having audit quality control system which is in compliance with the International Standards on Quality Management 1 (ISQM 1); (2) having full-time CPAs and full-time assistant auditors as
in making an investment or other decision. This presentation should not be viewed as a current or past recommendation or a solicitation of an offer to buy or sell any securities or to adopt any
operating standard specified by the association under Paragraph 2. Clause 5 A mutual fund management company shall prepare the financial statements of each mutual fund in compliance with the Accounting
from the operating standard specified by the association under Paragraph 2. Clause 5 A mutual fund management company shall prepare the financial statements of each mutual fund in compliance with the