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
following month, and within two working days from the date NC =< 1.5 times of minimum requirement Quarterly Reports Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
accountability. The program must be approved by the board of directors. The SEC approves within ten working days Related Rules and Regulations The Notification of the Office of the Securities and Exchange
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out https://www.sec.or.th/EN/Pages/LawandRegulations
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
under Clause 3(5) and (6); (3) be able to show that its working capital will be sufficient to cover its projected expenses incurred in connection with business operation as specified in the SEC’s
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3