. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
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
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations
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
for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal profession and with
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
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
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