Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
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Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
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สำนักงานสั่งพักการดำเนินธุรกิจ List of company licensed Venture Capital Management (Securities Company) Company Head office 1 KHAO KLA VENTURE CAPITAL MANAGEMENT CO.,LTD. SAM SEN NAI, PHAYA THAI, Bangkok
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
licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company
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A. RAP and HR Planning A.0 Risk Assessment Process for Resources element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Resources element that the firm considers as