เพ่ิมเติมไดท่ี DARegSandbox@sec.or.th FINISHดําเนินการตาม Exit Strategy หารือเบื้องตนกับ ก.ล.ต. ยื่นใบสมัครไดตั้งแต วันที่ 9 ส.ค. 67 ก.ล.ต. แจงผลการพิจารณา/ ผูทดสอบเริ่มใหบริการ ก.ล.ต. พิจารณา
respectively in which the main current assets held by the company accounted for 64. 2% and 80. 1% respectively of the total assets. The company current assets as of year- end of 2016 and 2017 was the finish
not required but must complete a derivatives knowledge course. − 4 Passed new curriculum of Certified Financial Planner (CFP).5 − ✓ − − 5 Approved or registered to perform similar duties to investment
Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents
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
on which the SEC Office receives complete application and supplementary documents. The Minister shall complete his consideration thereon within thirty days from the date of receiving the SEC’s
the time- on period has to be considered. • The records of key audit partner’s time-on period is not complete or • Inappropriate detail in manual and database on this matter may expose the audit firm
obtain sufficient audit evidence to conclude whether the investment in the associated company and its share of profit or loss were fairly stated in the consolidated financial statements. Accordingly
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete