responsibilities engagement partner clearly defined and communicated to that partner? 10 Does the firm have policies and procedures regarding to the assignment of engagement teams and the level of supervision
registrar’s name, the period of the mutual fund, the scheme’s capital amount, and the characteristics of unitholders; (2)2 a diagram showing the mutual fund’s risk level and a summary of important risk factors
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
regulations governing auditors to international standards by focusing on the quality assurance of an audit firm’s procedures both firm level and engagement level. As a result, the quality of auditor supervision
debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA
Service (“MS”) had a increase in gross profit for Baht 0.48 million and gross profit margin is at the same level as the same period last year. 3. Gross profit of Solar energy (“SE”) decreased Baht (1.42
with values less than 15%. Therefore, the Company is not required to perform any disclosure under the obligation of such Notification. Trading transaction in level 1 is not within the scope of connected
taking custody of clients' assets 10 million baht. Others 1 million baht. *Except agricultural derivatives licenses whose the minimum registered capital remains at the previous level of 50 million baht
holding of shares in each level exceeds 75 percent of the total number of outstanding shares of such company; (9) “Office” means the Office of the Securities and Exchange Commission. Clause 2. In cases