and not misleading. Clause 15. To protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
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