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
market currently operated by Finnet Innovation Network Co., Ltd. The outsourcing should be justifiably arranged and not becoming an empty box (without business operations). The intermediaries are
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
เป็นการไม่ประกอบธุรกิจ (empty box) โดยผู้ประกอบธุรกิจต้องกำกับดูแลผู้ให้บริการอย่างมีประสิทธิภาพ (ยกเว้นงานกลุ่ม 2) การแต่งตั้งที่ปรึกษาทางการลงทุน (Investment Advisor: IA ) ตามมาตรา 100 * ใช้
of directors but not less than three persons. The audit committee consists of at least three persons and at least one person must have adequate knowledge to review the reliability of financial
trustworthiness in regard of undertaking such securities businesses; "major shareholder" means any person directly or indirectly holds shares of securities company exceeding ten percent of voting shares of such
reliability of the Thai Capital Market. Normal 1. Qualification of approved auditor s (Reference to clause 6(2) and Clause 8) Individual Qualifications being a certified public accountant
violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market. Normal 1. Qualification of