Audit Firm’s record - Normal
securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the
Applicant’s personal record and audit firm’s record – fast track
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
SEC’s website. Signature of the applicant is required. (4) Certification of audit firm’s leader. Signature of audit firm’s leader is required. (5) Form 61-2F Certification and consensus of audit firm in
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
public accountant 2. Applicant’s biodata and details 3. Certification from the leader of the audit firm 4. The audit firm’s information and relevant details 5. The audit firm’s certification and consensus
): ................................................................. (...............................................................) Authorized Person Binding the Audit Firm: ............................... Remark Audit firm’s leader and audit firm’s authorized person to affix binding signature shall affix signature together with audit