Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics

-level is inadequate and insufficient. An absence of description and example on what is expected to be monitored also causes the assigned person the inability to monitor the significant matters thoroughly

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...

or through mutual agreements. The chapter also supports stakeholders’ access to information on a timely and regular basis and their rights to obtain redress for violations of their rights. V

each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive

the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible

risks and opportunities; d) be accessible and appropriately Part 1: ICGN Principles on integrated business reporting 8 integrated with other information that enables shareholders to obtain a picture of

leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC