Waterhouse Co., Ltd. • Member, Board of Governors, Stock Exchange of Thailand • Academic Member, Accounting Profession Supervision Council, Ministry of Commerce • President, Institute of Certified Accountants
, Price Waterhouse Co., Ltd. Member, Board of Governors, Stock Exchange of Thailand Academic Member, Accounting Profession Supervision Council, Ministry of Commerce 5 In de pe nd en t Au di t In sp ec ti on
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
operation, supervision of derivatives operation, or research on derivatives, or other similar lines of work regardless of the fact that such function provides services for other persons or for the benefit of
/ Building Moo Trok / Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic
derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk
the supervision of an internationally recognized audit regulator, in compliance with the rules under Clause 7; (2) being in cases other than (1) subject to the provisions under Clause 8. Clause 7 A
inspection responsibilities to increase the efficiency of supervision over intermediaries. The Financial Literacy Department was established to expedite efforts in this area. The strategic location at the
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further