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in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working
are not standard transactions with an amount which is too high in comparison to the company's size. Evaluate the sufficiency of the internal control system at least once a year. Qualifications of
Secretary of the Ministry of Commerce; 3. Governor of the Bank of Thailand. Expert commissioners at least four but not more than six persons appointed by the Minister of Finance as proposed by the
the program is that it must be demonstrated that internal information is not used to the benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to
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activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws