matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
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
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
do not override the quality of the work performed and the independence of the firm and its personnel. 11 Describe how the firm reviews and updates the Quality control policies, procedures, and
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
fund supervisor; “Mutual fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund
ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติใน