requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on

capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments

companies.In protecting the best interest of investors, the SEC is proposing to amend such rules to provide a clearer practical guideline for fund management and more room for investors to consider potential

not bring about liquidity problem and the funds? inability to appropriately sell their assets. Therefore, the SEC proposed to revise the regulations to be more practical in that the said dissolution

Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed  revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include

Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting

) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on

upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the

AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific