1 คุณสมบัติของหน่วยงานก ากับดูแลผู้สอบบัญชีที่ได้รับการยอมรับว่ามีมาตรฐานเทียบเท่าสากล หน่วยงานที่เกี่ยวข้องกับการก ากับดูแลผู้สอบบัญชีในต่างประเทศหลายแห่ง เช่น International Forum of Independence
raise independence issues. (Non-audit service) 3. High Risk Industries Resource, extractive, mining, oil and gas industries : • The current issue is not necessarily going concern but the issue is more
? B6.1 Please provide the firm's organization chart for SOQM that shows all the responsibilities for SOQM functions (all areas of TSQM's elements), including risk assessment, compliance with independence
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The
. “Most importantly, the SEC’s hands-on approach to our duties in various areas will reflect our commitment to independence, transparency and fairness for all. This is how we build trust and confidence
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the