to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification
communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting
additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
already had independent director in accordance with the regulations of such regulators, it shall be deemed that the intermediary has had the independent director in accordance with this Notification. In
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading
Website of the authority Telephone number of the authority E-mail of the authority 4.2 Is the audit oversight authority you registered with a member of International Forum of Audit Regulators (“IFIAR