ในการเป็นนายหน้าซื้อขายหลักทรัพย์ และการค้าหลักทรัพย์ ที่มิใช่ตราสารแห่งหนี้ 11/10/2543 4. หนังสือเวียน ที่ ธ.(ว) 10/2544 เรื่อง ขอความร่วมมือจัดส่งคู่มือการปฏิบัติงาน (Compliance manual) 06/02
and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to auditors and additional requirements as specified in the notification
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services
above transaction does not meet the criteria that require to be proceeded in compliance with the Notification of the Capital Market Supervisory Board No. ThorJor. 20/2551 entitled Rules on Entering into
International Standards on Auditing and I will perform audit works in compliance with the standards. 7. I entirely understand Generally Accepted Accounting Principles (GAAP). 8. I entirely understand my
Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification, and the compliance with such guidelines shall be deemed to be in compliance with the
should contact the compliance unit of the company directly https://www.sec.or.th/EN/Pages/AboutUs/SECComplaint.aspx