Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
securities, the Notification of the Capital Market Supervisory Board regarding establishment and management of collective investment schemes and Sections 59 of the Trust for Transactions in Capital Market Act
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange
(UNOFFICIAL TRANSLATION) (Updated 2015) 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the Securities and Exchange Commission
Thailand: Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company) Other bodies (Please provide
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and