prohibited characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its
characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its auditor's work in compliance
sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality
clients, an intermediary shall comply with the rules prescribed in Chapter 1/1 of this Notification as well as have operating systems for supervising the procedure of such communication and service
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
responsible for the safe keeping of the trust’s assets and supervising the trust manager and other delegates (if any) to act in accordance with any such agreements and the laws; If the investment will be made
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
intermediary and the clients; (7) measures for supervising a service provider to comply with the regulations relevant to outsourced function as stipulated by the Securities and Exchange Commission, the Capital