resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
- - - Registration with the Thai BMA - Required. Required. Ratings - Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
of Thailand. Clause 2 Undertaking of inter-dealer brokerage shall be classified as securities business within the definition of securities business under Section 4(7) of the Securities and Exchange
switching of classes must be clearly described in the scheme. (3) Seeking a resolution of unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a
switching of classes must be clearly described in the scheme. (3) Seeking a resolution of unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a
- Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2 capital which have additional conditions that a write-down