Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
; (b) In respect of lecturing or teaching, the Contact shall submit application to the Office directly. 4.2 Period for consideration In respect of training course or seminar, the organizer should file
· 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
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
Commission, guidelines, orders and circulations issued by virtue of those prescribed Notifications in the Notification of Capital Market Supervisory Board thereof, shall be repealed. For the preliminary period
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as