up audit file in case of electronic working papers? 4 Does the firm have policies and procedures for the documentation of complaints and allegations and the responses to them? 119
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
traffic light protocol ซึ่งระบุรายละเอียดอยู่ในระบบ TCM-CERT Portal อย่างเคร่งครัด 2. ตัวแทนสมาชิกฯ จะจัดส่งรายงานเหตุการณ์ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัย ของระบบสารสนเทศ (incident report) ให้กับ
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
such security systems in a good condition on a regular basis; 4. The intermediary should closely monitor and control external party support service personnel working in the secure areas; 5. The
within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody
Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing this Notification is that in light of the fact that the originally prescribed form of a service office has a limited
with firm’s audit manual? 2 Do the firm policies and procedures specify the form and content of working papers including standardized forms, checklists, and questionnaires that are to be used in the
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for