Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
this Act. Such notifications shall come into force upon publication in the Government Gazette. 2 indicating amendments or additions by the Derivatives Act (No.2) B.E. 2551 5 CHAPTER 1 SUPERVISION OF
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
auditing and accounting standards and guidance? Does the audit manual included requirements that are related to quality control of audit engagement? Where are standard audit manuals kept? Do the firm
control in the subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or decrease of capital and dissolution of subsidiaries, etc. In case of a
fourteen days after the date of such appointment or such change. Chapter 2 Management of the Fund _______________________ Section 12. 2 The Minister shall have the powers and duties to supervise and control
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
management who are responsible for the line of work relating to being fund supervisor may control over its management as a representative of such juristic person. “Office” means the Office of the Securities