Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
quality control system inspection in 2019 revealed that several audit firms in the capital market had already increased auditors within its firm to facilitate the rotation of key audit partners as required
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics