Reference / Guidance Notes Description A Audit methodology and procedures: 1 Does the firm use standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the
which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
public limited company including a juristic person established by specific law with the object of undertaking business. "securities company" means any company, or financial institution licensed to
company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in