Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a) checking the basic individual qualifications of the applicant i.e. having
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
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
Personal Records and Non-Prohibited Characteristics (Supplement for Form 19-1) F orm for Summary of Digital Token Trading Transactions Via an ICO Portal Financial Advisor Appraiser ICO Portal SHARE : For
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
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and accountability. The program must be approved by the board of directors. The SEC approves
(Effective date of October 1, 2018) Related Forms Application for a permission for a public offering (form 17-1) A letter of certification for personal records of directors, executives, controlling persons
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual