auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.
to maintain the qualifications as head of audit firm or partner or equivalent position from being terminated as capital market auditor immediately as long as they proceed to rectify and resume the full
under appropriate oversight and to maintain confidence of investors who use the services. The consultant paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=678
situations and fair treatment to all types of investors. The regulatory review also aims to promote and maintain stability and efficiency in securities trading. The SET will expedite the reviewing process of
/LawsandRegulations/securities-ITchecklist.xlsx QAQR-06.xlsx institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
Attached with Licensed Firm B & & 11 3.4.3 Role of attached Licensed Firm in the Host Jurisdiction (1) The attached Licensed Firm shall maintain the record of the appointment and the discontinuation of the
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen