oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
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
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
2017 > CG Code > Principle 7 Ensure Disclosure and Financial Integrity CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related persons Sustainable
การเงินจากหลายประเทศทั่วโลกเข้าร่วม อาทิ Securities and Exchange Commission (สหรัฐอเมริกา) Financial Conduct Authority (สหราชอาณาจักร) Monetary Authority of Singapore และ Bank of Ireland โดยมีนาง
shall only accept Cryptocurrencies obtained from or deposited with operators of digital asset businesses regulated under the Emergency Decree. The rationale is to preserve the integrity of markets by
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the