information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
กลต.กส.(ว) 43/2565 เรื่อง การให้ความร่วมมือกับผู้สอบบัญชีในการดำเนินการตามข้อกำหนดในเรื่องการตอบสนองต่อการไม่ปฏิบัติตามกฎหมายและข้อบังคับ โดยที่ International Ethics Standards Board
on Investment Analysis on Technical Factors (5) Knowledge on Ethics of Investment Analyst 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 1 year during the
procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period of two [2] years prior to the date of submission of renewal
prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period
prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period
auditor fails to have the qualifications in compliance with Clause 7; (2) the foreign auditor has a behavior that indicates a lack of professional ethics or violates or fails to comply with the
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
Professions • Ethics Subcommittee, Thailand Federation of Accounting Professions under the Royal Patronage of His Majesty the King • Advisor, the Thai Accounting Firms Association • Advisor, the Tax Auditor