Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
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position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
position or the condition that can access inside information through performance of duties; (5) Juristic person whose business is under control of the persons under (1) (2) (3) or (4). Trading
will be capable of regular monitoring the quality of audit work performed by such auditor, which resembles the international supervisory framework. The audit quality control regulatory shall be performed
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
Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial Regulations Regulations Search Public Hearing Discussion Handbooks / Best Practices SHARE
Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial Regulations Regulations Search Public Hearing Discussion Handbooks / Best Practices SHARE
Promulgated under the Securities and Exchange Act B.E. 2535 Promulgated under the Provident Fund Act B.E. 2530 Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
Related Entities Enforcement Prevention of Unfair Securities Trading Practices Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Fundraising Market Professionals