size. Evaluate the sufficiency of the internal control system at least once a year. Qualifications of the Chief Financial Officer (CFO) and accountants Public Offering (PO) Secondary Public
. The criteria for allocation must not induce or lead to corruption or wrongful benefits to the company. CEO or MD makes a list of sponsors T he Chief Executive Officer or the Managing Director (CEO or MD
approval shall be terminated. Clause 8 In connection with applying for securities business license in the category of investment advisory service under this Ministerial Regulation, the competent officer
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of financial statements 3.2 Rules related to CFO and Chief Accountant 3.1 Regulatory Summary for preparation and submission of financial statements The financial statements and consolidated
) 3 The identity Card of Registrar and Competent Officer B.E. 2532 SHARE : For More Information ContactUs Legal Department -Corporate and Administrative Cases Tel. +66-2033-9525 Was this
, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information (Inspection of the director and executive's qualification on the company's request) (Form
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section