แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
Has the firm at least annually obtained written declarations on compliance with the firm’s independence policies and procedures from all firm personnel? 9 Does the firm have Confidentiality Declaration
audit client or a third party calls into question the integrity, objectivity or independence of the audit firm. 8 Has the firm at least annually obtained written declarations on compliance with the firm’s
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
Commission: I, ………(applicant’s name)………., a certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including
Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
compliance with International Standards on Quality Management 1 (ISQM 1); monitoring associated auditors who are attached to the firm to perform an audit work in accordance with the professional code of ethics
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards