other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
performance of engagements? If no, describe how the firm determines appropriate working papers for an engagement and communicates to the engagement team? 3 Does the firm have a disclosure checklist for the
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the
securities; (5) “Investor” means any person who is interested in investing in securities and shall also means any client of securities companies in securities businesses; (6) “Securities company” means any
proposed to its client or investor who is interested in the products, at least according to Clause 42. In this regard, such information shall not be distorted and misled; (4) distribute prospectus or
investment; “Investor” means any person who is interested in investing in securities and shall also means any client of securities businesses of securities companies; “Securities company” means any company
บริหารเหตุการณ์ด้านความปลอดภัย ด้านสารสนเทศ (incident response team) ( กำหนดขั้นตอนปฏิบัติสำหรับการรายงานเหตุการณ์ โปรดระบุรายละเอียดวิธีการ
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction