……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
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
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
The SEC jointly with the Thai Bond Market Association (ThaiBMA) launched ?One Step Beyond with Bond Issue? project to encourage the businesses that have never raised fund through bond issuance. Also
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
, step by step, to the SEC without delay. In this regard, the Minister of Finance, upon the SEC Board’s recommendation, has determined that Zipmex is still in contravention of the SEC Board’s orders
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm