securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC

considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for

proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

Engagements (4) Human Resources (5) Engagements Performance (6) Monitoring 9. Audit Quality Indicators (“AQIs”) (1) The actual hours spent in reviewing and auditing the financial statements of listed companies

considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a

actions to alleviate the impact and whether the actual results over the past three years have complied with the law. In case of disputes or legal complaints on environmental issues, specify the details of

fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a license within sixty days from the date on

management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to

prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an