under the good quality control system both at firm level and engagement level. In response to the aforesaid, the SEC has revised rules on granting approval of auditors in its continuing efforts to
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the “Contacts
required if the applicant has submitted the SEC Office’s letter of acceptance for the audit firm to allow the applicant who is an affiliated auditor to apply for approval via the fast track system. 3
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
approval for audit firms and auditors in the capital market and the determination of penalties which cover a wide range of enforcement measures and are commensurate with the degree of wrongdoing. In 2020
suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client