(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
accordance with the approved mutual fund project and the commitment made with the unitholders. SEC Act S.125(1) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 25/2020 Dated 02/09
requirements, and the monitoring and remediation process. The organizational chart should include the following details: - Name of the responsible persons - Their responsibilities - Scope and details of SOQM
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
commitment to achieving the United Nations Sustainable Development Goals (UN SDGs) and the national goals of carbon neutrality and net-zero GHG emissions.” SEC Secretary-General Pornanong Budsaratragoon said
believes that doing so will give due importance to staff’s commitment to audit quality. 23 Independent Audit Inspection Activities Report 1 January – 31 December 2014 Ineffective monitoring for staff
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
controlling and monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious
monitoring performance of its personnel to action in accordance with the constituted policy and measure; (8) demonstrating that it will have fit and proper operating system to undertake precious metal