Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
such property is transformed into a different form or state, except the acquisition of the property was done in good faith and for value, providing further that the person acquired that property did not
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy and completeness of information contained in the registration statement. If the
Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment Management Companies; Chairman, Securities Analysts Association; Chairman, The Thai Life Assurance Association