the firm’s audit manual and audit procedures, the lack of understanding in requirement of relevant standards, the lack of competent and skillful personnel, and the inappropriateness of internal
approval shall be terminated. Clause 8 In connection with applying for securities business license in the category of investment advisory service under this Ministerial Regulation, the competent officer
foncier businesses, the commercial banking laws, the life insurance laws or any laws relating to financial businesses of similar natures, regardless of such laws being Thai or foreign, by any competent
relating to financial businesses of similar natures, regardless of such laws being Thai or foreign, by any competent agencies under such laws in respect of any offense relating to unfair activities on
relating to financial businesses of similar natures, regardless of such laws being Thai or foreign, by any competent agencies under such laws in respect of any offense relating to unfair activities on
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel hasbasic understanding of general laws
the quality audit engagements, it is crucial that the firms employ competent personnel with proper time to perform the engagements and the personnel should be engaged in continuous professional
Exchange Act (No. 3) B.E. 2546 2 indicated amendment by the Securities and Exchange Act (No. 2) B.E. 2542 4 "competent official" means a person appointed by the Minister to execute the duties in accordance
trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette