, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back