partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
Transactions in Capital Market Act B.E. 2550 (2007), or the Notification of the SEC Office regarding Approval of Auditors and fail to cooperate with the SEC Office, the granting of approval this time shall be
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
such law and having a clause prescribing the representative to act and cooperate with the Office in order to comply with the rules on sale or acceptance of redemption of investment units or customer
cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative from appointing a sub-representative; **(4) stipulating that the representative must cooperate
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
replacement of lost important data. 4.3 If companies have used a service from a service provider, companies should cooperate with a service provider in determining a recovery time to restore normal operation
beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other documents under the KYC/CDD process, or produces
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with