/Documents/ca/Documents/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or
to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents
2025.* Subsequently, CHARAN requested an extension of the submission deadline, citing the engagement of a consulting firm to enhance its data preparation processes and information technology
audit firm; (2) To relax the requirement on the number and nature of business whose financial statements must be given an opinion and affixed with the auditor’s signature, as well as to adjust the
year to September 1st to the last business day of each year. This is to provide greater flexibility for business operators and capital market business personnel in applying for an approval renewal
service platforms that correspond with consumer behaviors today, including new services to sell mutual fund units. Currently, there are businesses that wish to provide financial services in this area
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of
-bank and if setting up as a company, more than 50 percent of all shares with voting rights must be held by the Ministry of Finance; (2) approved by the Bank of Thailand to provide financial services