checkups through a risk assessment test and target determination; (2) determining an investment plan according to acceptable risks and targets determined; (3) making investment according to an investment
for reform in individual countries. 4 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The Principles were originally developed by the OECD in 1999 and last updated in 2004. The current review
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
approved auditor s (Reference to clause 6(2) and Clause 8) Individual Qualifications being a certified public accountant whose license is still valid, being a leader of an audit firm or
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange
Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity