procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
Securities and Exchange Commission I, ........[FULL NAME]........, leader of……......[NAME OF AUDIT FIRM]…............ certify that: 1. …(FULL NAME OF APPLICANT) ....., CPA License No. .............., is a
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
do not override the quality of the work performed and the independence of the firm and its personnel. 11 Describe how the firm reviews and updates the Quality control policies, procedures, and
against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name
approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติใน