Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
value of securities or the suitability of a securities investment; (11) “ general advice ” means an investment advice given to any person without considering the investment objective, financial status, or
of a securities investment; (11) “general advice” means an investment advice given to any person without considering the investment objective, financial status, or requirements of such person; (12
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4