” which allows for fast track approval from Host Regulator. To contribute collaboration and cooperation amongst ACMF members, the Securities and Exchange Commission Thailand, the Securities Commission
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
Canada 2016 US 2018 2018 Source: KPMG, Morningstar, Reuters, ESMA, BAFIN, FCA Internal study Request for collaboration Public awareness Name and shame Fee restriction Litigation Self discipline Market
take legal action against wrongdoers. This includes imposing penalties on any securities firm that gets involved or colludes with the commission of such offense. Furthermore, the SEC has issued
Asian publicly-listed family-firms? • What we did: Literature review of Asian family-firm research. - Evidence of current level of family-firms in Asian economies. - Types of family-firms. - Homogeneous
program and training program among members and through collaboration with external parties. ACMF expressed its gratitude to the Asian Development Bank (ADB) for its support in providing ACMF with technical