internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
) the securitization under the Royal Enactment on Special Purpose Juristic Persons for Securitization; (3) other transactions which are supportive or beneficial to capital market development. SECTION 5
Institutions Development Fund bond and bond or debt instrument issued by the Ministry of Finance; (d) other liquid assets prescribed by the Office. “customer” means a person agreeing to receive an advice from an
applicable, mutatis mutandis. The operating plan of the SEC Office under the first paragraph shall be prepared in the form of a three-year plan to promote the supervision and development of the capital market
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures