Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior
the nature or timing of the auditor’s work (paragraph........); ( 2.2.3 limitations imposed by management (paragraph........). ( 2.3 Corresponding figures contains or may contain material misstatement
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
procedures under Section 63, issue rules that are of temporary nature, provided however that, the derivatives exchange has complied with the rules as specified in the notification of the Capital Market
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
การรักษาความลับของลูกค้า การจัดเก็บและการควบคุม เอกสารที่เกี่ยวกับการเป็นที่ปรึกษาการลงทุน (preservation of confidentiality) ( (จ) หลักปฏิบัติในการซื้อขายหลักทรัพย์ของบริษัท ผู้ให้คำแนะนำ และบุคคล ผู้มี
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s