partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules