Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3