with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy
structured CPD for registered auditors? 5 Is there a training policy for other audit issues of Listed Companies? 6 Are these CPD targets communicated to each individual? If yes, how? 7 Are these targets
and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
engagement competently If yes, how this decision is reached and whether it is documented. Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant
Gazette. Chapter 1 Establishment _______________________ Section 5. 3 A fund shall come into existence only when it is established by agreement of the employees and the employer and registered under this
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s
reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
registered auditor under the audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact Person of the authority Business Address of the authority