Qualification and Prohibited Characteristics of Directors and Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following
Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the
Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
approval if he/she wishes to and has to file application and supporting documents in advance before the end of approval period. 5. Post-Approval Duties Complying with the
fails to maintain the capital in accordance with the Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the
Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the capital in accordance with the Notification concerning
applicant is not in breach of any condition in complying with the terms and conditions; (8) in cases where the applicant is a Thai entity, it shall comply with the additional requirements prescribed under
1/12 A foreign auditor having the characteristics and complying with the following rules shall be approved by the SEC Office to perform audit work and affix signature in giving opinions on the
complying with international standards with relevant parties in the Thai capital market. More details on Policy Committee on International Accounting, Auditing, and Disclosure Standards can be found at