designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
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
having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft Commissions Clause
experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities