Office of the Securities and Exchange Commission. Clause 3. An auditor of a securities company for each accounting period shall be an auditor approved by the Office in accordance with the notification of
signature in the opinion on the financial statement of a securities company, shall be a certified public accountant who is approved by the Office of the Securities and Exchange Commission to be eligible to
following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange Commission
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. Clause 3. The securities company shall provide an inspection of information
securities; 2. director and employee of issuing company or subsidiary of issuing company as approved by the board of directors or the resolution of the shareholders’ meeting of issuing company; 3. creditor of
securities company as a source of contact for clients; and (4) complying with rules concerning analysis report translation specified by the bodies relating to securities business approved by the SEC office
definitions in notifications relating to issuance and offer for sale of securities; 2. a director and an employee of a securities issuer or its subsidiary company as approved by the board of directors or
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
of person who sent the information, it is unable to prevent such case.. So, it was approved that still use the post guideline. Original proposed guideline Comment/question From company The SEC Office’s