service / income Condition of the industry and competition Research and development Capital structure Important points Who are the majority shareholders that can control the votes? Is there a check and
Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
professional services, a significant shareholder, controlling person, or partner of such provider with a service fee of more than two million baht per year during the period of two preceding year. * In case of
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
will be capable of regular monitoring the quality of audit work performed by such auditor, which resembles the international supervisory framework. The audit quality control regulatory shall be performed
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
against the interests of the REITs, nor actions which will cause the trustee to lose independence except for the following: being transactions with measures or control mechanisms of check and balance
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the ISQM 1. 2.8.2 Checking whether applicant's