collaboration in case further clarifications or investigations are required. The meeting was held on 24 January 2024 at the DSI Building. In the picture (from left to right):1. Ms. Pattanaporn Tripipat, SEC
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
following f orms and documents; Form 61-1F Application for registration as a foreign auditor in the capital market . Signature of the applicant is required. Applicant's personal record and firm's
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
Application for registration as a foreign auditor in the capital market . Signature of the applicant is required. Applicant's personal record and firm's profile in the form as publicized in the SEC's website
required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its
the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. The inquiry official sent the case back