owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g
derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of auditors and perform the audit under the provisions of the law governing auditors and any additional regulations
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph