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designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
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experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
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
clients’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets Thursday 24 December 2020 | No. 236 / 2020 Bangkok, 24 December 2020 - Today SEC
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board