shall apply to the approval of auditors of businesses in the capital market. In this regard, the auditors approved by the SEC Office under this Notification shall be allowed to perform audit work and
appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the applicant shall
andum regard ers g Corporation n October 4, s follows: se to the Extra ed capital of B 09.00 by decre 907,153 share Association o ecutive Comm managing di of Association ry action to co se to the Extra d
been fined for any offense under the laws governing securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her
securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her approval for acting as a mutual fund manager or a private fund
into a written contract with the customer who authorized it to perform as his/her agent in derivatives trading, such contract shall not have any statements denying the derivatives broker’s
customer who authorized it to perform as his/her agent in derivatives trading, such contract shall not have any statements denying the derivatives broker’s responsibilities to the customers from any act or
for investor protection. In this regard, the SEC Office may prescribe conditions with which the Thai government agencies shall comply. Clause 10 In cases where additional facts appear to the SEC Office