. During the period that an auditor of the audit firm has been registered with the SEC, I certify that the audit firm will regularly review and maintain the audit quality control system to comply with ISQC1
/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
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.
Characteristics of Company Directors and Executives dated April 23, 2010. Such person shall thus be removed from any director or executive position of issuing or listed company and shall not maintain in such
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
, focuses on the additional objective of the CMDF establishment ? permission for the CMDF to give financial support for the SET as deemed necessary to ensure the bourse's ability to maintain its
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
securities firms, they can do so. ?Other securities companies with brokerage services as core business are still able to maintain strong financial positions. Their proprietary investments in the stock
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
from derivatives trading must also be adopted. Capital Adequacy: Derivatives agents must maintain net capital requirements at the end of each working day not less than 15 million baht as well as not