Office. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
56 of the Securities and Exchange Act and being audited or reviewed by an SEC-approved auditor. 3.1.1 Preparation and submission of financial statements for a public limited company applying
which the auditor is attached as prescribed by the regulations summarized below: Individual Qualifications (1) being a certified public accountant whose license is still valid; (2) being a leader of an
of directors and executives of issuing companies. Qualifications of a director Not having untrustworthy characteristics. For example: Being an insolvent person or an incompetent person Being
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
Placement (PP) – in case of a non-listed company The nature of offers is one of the following: The value of offer is ≤ 20 million baht. There are ≤ 50 investors. Being an institutional investor. No need to