Ethics of Investment Analyst 6 Former investment analyst on technical factors. 6 − Examination not required but must complete a full course or a refresher course for renewal of approval.7 Examination not
individual auditors’ engagement. The overall results of the inspection conducted on 13 audit firms in 2016 during the third cycle, which is between 2016 to 2018, indicated continuous improvement from the
firms demonstrated an improvement vis-à-vis the results from the previous inspection cycle. Such improvement was undoubtedly enabled by the formulation of audit firms’ root cause analysis process and
1 - Translation – Bor.Chor.Ngor 0328/2017 September 26, 2017 Subject: Connected transaction : Renewal of a hotel management advisor agreement Attn : President The Stock Exchange of Thailand With
(Translation) CS 0297/2019 August 13, 2019 Subject: Connected transaction : Renewal of a hotel management advisor agreement Attn: President The Stock Exchange of Thailand With reference to the Board
services. This is to ensure that such capital market personnel can provide appropriate advice and useful information to investors. Meanwhile, the Prof. Link platform will further facilitate license renewal
. The SEC also encouraged audit firms to prepare for compliance with the International Standard on Quality Management 1 to drive the improvement of the quality control system of audit firms in the capital
e-service Online Submission Marketing >> Type Title Section See document Status Notified Date Effective Date 1. Circular SEC.Khor.(Wor) 25/2550 Re: Circular-Guidelines for Renewal of Approval for
(Form 61-2); (9) Copy of the membership card of the Federation of Accounting Professions (FAP) and evidence on renewal of such membership of the applicant; (10) Copy of the certified public accountant