……................ 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
improving the business environment in Thailand. The event aimed to raise awareness of the progress in enhancing the business and investment climate, increasing the country’s competitiveness, and
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
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
in finance and investment for investors and the public. Having met the criteria for recognition and awarded certificates from the SEC, these participating businesses are as follows: 1) Maybank
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
category will be awarded with the Recognition of Achievement Plaque from Her Royal Highest Princess Maha Chakri Sirindhorn. The second and third runners-up will receive the SEC plaque and the AOP plaque