Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
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
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
audit firms usually belong to a group of firms or a large network firm, which could lead to situations where the auditors’ independence could have been impaired had the firm leaders not been cognizant of
ex-officio Chairman, not to attend the Board meetings to ensure SEC independence. ** By virtue of Section 21 and Section 38(5) of the Act on the Administrative Organization of the State Affairs, B.E
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
, including domestic and global economic policies. Relevant actions taken are as follows: Establishment of the Risk Oversight Committee to increase level of independence of risk governance structure and