. has he/she been appointed as a director or to a key management position at the client? (d) If not a partner – were they a former member of the engagement team within the last two years and have they
availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with
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
performance of engagements? If no, describe how the firm determines appropriate working papers for an engagement and communicates to the engagement team? 3 Does the firm have a disclosure checklist for the
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
________________________________________________________________________ 5. ผู้ที่ทำหน้าที่อนุมัติ information security policy and procedure ( คณะกรรมการบริษัท (board of director : BoD) ( คณะกรรมการบริหาร (management or executive committee) ( คณะอนุกรรมการอื่นที่ได้รับ
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
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause