opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
regulator Host country Licensed, registered or authorised Authorisation subject to local rule and regulation Maintain updated information on the status of professional Host regulator Application process Local
According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses
costs and proportionate ownership , control or management power, have commons quality control system, business strategies, shared names or shared significant professional resources. The related parties or
evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as
, unless otherwise noted; deduction of such expenses would reduce returns. Net performance results reflect the application of the highest incremental rate of the standard investment advisory or management
Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals in all aspects. In the event that the
Procedures) and the Usage Manual on Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals
auditors cannot maintain their qualifications, or b. foreign auditors violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall
violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market. Normal 1. Qualification of