entities conform to accounting standards, auditing can no longer relies only on individuals but also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable
relating to asset appraisal regarding capital market transaction is significant and has impact on making investment decision of the public, appraisal requires a knowledgeable, capable and responsible person
with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and factors to select products on the
with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and factors to select products on the
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
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
specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a supervisor, who was approved by the SEC, co-sign to certify completeness of information provided
specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a supervisor, who was approved by the SEC, co-sign to certify completeness of information provided
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