Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
to ensure efficient control and supervision of the service provider’s operation and management of the risks associated with the outsource; (6) consider the selection of a service provider with care as
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same
followings: - Operational risk associated with the Company or its group of companies. Identify and clarify what the management views as material risks on the business, operation, financial position, operating
that are associated with securities borrowing and lending business complied with this Notification and to extend period of time in maintaining information and documents that are related to the custody of
demonstrate items of investment in net value after adding or deducting with the value adjustment reserve accounts and the reserve for depreciation of investment fund. 5. Investments in subsidiary and associated
evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT