Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
latest three years, or, in case of a registered group of persons, profit and loss statements of the latest three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and
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
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in theSEC's website. Signatures of audit firm's leader
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
: 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
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of