standard qualifications of salespersons.  On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as

International Standard on Quality Management, which will become effective on 15 December 2022, requires that audit firms communicate with third parties regarding their audit quality management system.”  The SEC

Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct

สิ่งที่ส่งมาด้วย 2 ไฟล์ Standard Data Format (แนบ กลต.นธ.(ว) 35/2565)

International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2

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Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries