แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
element that the firm considers as high risk? Please describe the relevant responses to these risks A.1 Audit methodology and procedures: Firm's Reference /Guidance Notes Description 1 Does the firm use
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
key missions is to promote financial stability for sustainable well-being of the Thai people, provision of adequate and accurate financial knowledge and information for their proper decision-making is
firm network to form “the Auditors in the Thai capital market Club”. Knowledge and resources can be shared among members to achieve the growth with quality, stability and sustainability. The club can be
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
negative impacts on market conditions and investor confidence. over the years, to ensure market stability and minimize adverse effects on short selling transactions, the SEC has approved the Stock Exchange
Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of inspection results Next step for stability Conclusion Significant statistical information 3 4 7 8 13 31