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
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
ดิจิทัล โดยการจับคู่หรือหาคู่สัญญาให้ หรือการจัดระบบหรืออำนวยความสะดวกให้ผู้ https://dividend.sec.or.th/stat-report/59_DEF_INV_DA_INV_TH.doc 6561p.doc structure: (i) That is aimed at cooperation, and (ii
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. 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
. The said ratios in each audit firm may be varied by the difference in human resources structure among audit firms. It is advisable that the firm consider these ratios concurrently with the number and