with firm’s audit manual? 2 Do the firm policies and procedures specify the form and content of working papers including standardized forms, checklists, and questionnaires that are to be used in the
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
(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...
Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701" http
International Standards on Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX
business operator in the category of derivatives advisor (as the case may be) issued under the Derivatives Act, B.E. 2546 (2003) and certify that the content contained in the application for registration and
) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity
approval for each advertisement. In applying for approval under the first paragraph, if the securities company has submitted the content of the advertisement for the Office’s consideration and the Office
management is appropriate in terms of content and format, which will enable the investors to receive factual, correct and not misleading information related to the sale of investment units or the fund
or research paper published in a document provided and disseminated to the public as normal business undertaking; (2) an article or research paper whose content is an update of or an addition to