procedures, review and then discuss with the firm I. General Policies and Procedures II. Specific Policies and Procedures B. Independence Issues Checklist: Discuss the following issues with the Ethics Partner
independent director shall: (a) hold shares of not more than five percent of all shares with voting rights of the securities company, parent company, subsidiary company, affiliate company or person who may have
, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please specify in detail) Name of Company amount (shares) proportion of shares holding
case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such
another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please describe B Supervision and review responsibilities: 5 Has the firm established policies
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach