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
....................................................................................................................... telephone:................., facsimile: ..................., Website /home page: ………………..................., e-mail: address..........................., branch office located at (if any
................................................................................................................................................... โทรศัพท์................. โทรสาร...................website/home page …………...…….e-mail address.......................... ที่ตั้งสาขา (ถ้ามี) .........................................................โทรศัพท์
........................................................................................................................................ โทรศัพท์................. โทรสาร...................website /home page ……………….e-mail address................... ที่ตั้งสาขา (ถ้ามี) .........................................................โทรศัพท์
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
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
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
available on the SEC Office’s website offers guidelines for the board’s assessment of the Company’s internal control adequacy: (1) adequacy and appropriateness of the internal control system and staff