· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
Remedying Identified Deficiencies 1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily
able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
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
amount of money required to be segregated each day shall not be less than the total amount of the net balance calculated at the end of the prior working day or at the end of the present working day from
amount of money for each day shall not be less than the total amount of net balance calculated at the end of prior working day or at the end of present working day from cash account and margin account of
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example