licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2 Who has the
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market
securities companies? rules strictly and do not meddle with the client's assets and trading account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are
element that the firm considers as high risk? Please describe the relevant responses to these risks A.1 Audit methodology and procedures: Firm's Reference /Guidance Notes Description 1 Does the firm use
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
at least half of the curriculum comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund