Head of Compliance
Firm level………………………………………………………………. (Please specify the inspected ISQC elements.) (4) Summary of inspection results …………………………………………………….… (Please specify risks associated with the non-compliance of the
Firm level………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies
https://publish.sec.or.th/nrs/7039pe.doc documentation.doc firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and