Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
elements in TSQC 1, as follows: (1) Leadership Responsibilities for Quality within the Firm (2) Relevant Ethical Requirements (3) Acceptance and Continuance of the Client Relationship and Specific
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index