Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
audit firms usually belong to a group of firms or a large network firm, which could lead to situations where the auditors’ independence could have been impaired had the firm leaders not been cognizant of
warning on issues. BP saw such an earthquake in its share price after the Gulf oil spill disaster prompted engaged investors to use their voting rights to call for the removal of the chair of the board’s
, fairness and independence. 2006 Board Meetings Attendance A n n u a l R e p o r t 2 0 0 6 15 were subjected to the SEC's review and rehearsal at least once a year. (2) Market Risks: To maintain continual
well as maintain proper check and balance within the SEC organization. 1.1 SEC Board The SEC Board’s structure is in line with international standards to ensure independence and transparency whereby the
. enjoyed continually high loan growth. In addition, Muang Thai Life Assurance PCL retained its leadership in the bancassurance business, holding the second largest market share in total premiums. To secure
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