Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
แบบแจ้งชื่อผู้บริหารของบริษัท “For effective filing, fill out Form 35-E1 via the SEC electronic filing system only , print out the completed form, affix the authorized signature and submit the
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well