Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
aspect, such as, strike of employees or inaccessibility to building or facilities in areas. 9.2 Human resource aspect, such as, loss of executives or a key personnel or lack of personnel in large number
Engagements (4) Human Resources (5) Engagements Performance (6) Monitoring 9. Audit Quality Indicators (“AQIs”) (1) The actual hours spent in reviewing and auditing the financial statements of listed companies
conducting of the business and such personnel must have knowledge and ability appropriate to their duties. Guidelines 1. Human resources planning of each unit should demonstrate the adequate amount of
monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้