derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be
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
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
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
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
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
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC