to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
title and location, the type of project, the target customers, the number of units, sale/rental space, project value, sale and construction progress, etc. 2.2 Marketing and competition (a) Describe the
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the