/Guidance Notes Description 1 How is the firm dealing with the following (external issues): • challenge of real time systems with large numbers and/or high value transactions (e.g. banks, travel agents

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

Slide 1 Geopolitical Risk and Firm Value: Evidence from Emerging Markets SEC Capital Market Symposium 2023 29th November 2023 Sasin Pringpong Sakkakom Maneenop Anutchanat Jaroenjitrkam Disclaimer

https://dividend.sec.or.th/stat-report/OFFER_DEBT_SHORT_EN.xlsx QAQR-04.xlsx /Guidance Notes Description 1 How is the firm dealing with the following (external issues): • challenge of real time systems

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

of execution challenge: Firms capable of good audits but do not perform consistently. • Enhanced auditors report: implement for audits of December 2016 year-end financial statements; firms are starting

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

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

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document