oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors

the SEC’s recommendation may give a waiver of such disqualified characters to such person; (b) for individual, [such individual] shall not have the disqualified characters under (a)(iii), mutatis

entity or natural person, as well as the nature of such control. To the extent known to the issuer, indicate whether the issuer is directly or indirectly owned or controlled by another corporation, by any

shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or

Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Fund Registered Person Trustee Digital Asset

net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of

resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the

law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of

: …………………………………………………………………………..……………………….... ……………………………………………………………………………………………….……….……… ……………………………………………………………………………………………………….…….… 2. Information about individual or entity you have a complaint against Name : Juristic person Ordinary person ……………………………………………………………………………………………………….……… Objective of the complaint wished to be

raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data