) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
of naked short selling transactions without actual securities borrowing, which is currently a matter of public concerns. Currently, the SET’s inspection system operates on a risk-based approach and the
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
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
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for