. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. PAGE (Translation) 2
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ PAGE 3 ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ กน. 7/2562 เรื่อง การกำหนดการให้บริการของบริษัทนายหน้าที่ไม่ถือเป็น การประกอบธุรกิจหลัก
authorized director are required every page. (11) Photocopy of financial statements of audit firm for the 3 recent years before filing the application. Signature of the audit firm’s leader and authorized
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and this English
... (Unofficial Translation) PAGE Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3