Rules for Operation of Derivatives Clearing Houses
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
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
Outsourcing Function related to Business Operation to Third Party
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
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with