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
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
latest three years, or, in case of a registered group of persons, profit and loss statements of the latest three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in theSEC's website. Signatures of audit firm's leader
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
Capital The objectives for the determination of minimum paid-up registered capital are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types
(in case of selling to retail investors, listing of the units in the Stock Exchange is required to enhance the liquidity). In case the asset value of Greenfield* projects > 30% of the total asset