Supervisory Board concerning Rules, Conditions and Procedures for the Establishment and Management of Infrastructure Fund; (2) provision that the management company shall dissolve the mutual fund when the SEC
Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life insurance company; (9) mutual
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
of the ultimate shareholder of the Audit Firm. If the major shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the
the company to disclose information, extend the scope of special audit, and notify investors; and cooperating with relevant law enforcement agencies. We have, so far, made substantial progress in the
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company