for approval of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and

opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

company, auditor, mutual fund supervisor or the Office 4.6 Consent to the Office to investigate the performance of the delegatee within the specified period 4.7 Resolution of dispute with related persons

Specify the remunerations for the auditor, the audit firm for which the auditor works, the persons or businesses related to the auditor and the audit firm, paid by the Company and the subsidiaries in the

” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval

auditor, the audit firm for which the auditor works, the persons or businesses related to the auditor and the audit firm, paid by the Company and the subsidiaries in the following categories: (1) audit fee

Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the