under the good quality control system both at firm level and engagement level. In response to the aforesaid, the SEC has revised rules on granting approval of auditors in its continuing efforts to
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
รับและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและงานที่มีลักษณะเฉพาะ (Acceptance and Continuance of Client Relationships and Specific Engagements) การปฏิบัติงาน (Engagement Performance) ทรัพยากร (Resources
investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt repayment in the form of securities or other assets by funds. Authority of the SEC Fund managers Mutual fund performance measurement
investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt repayment in the form of securities or other assets by funds. Authority of the SEC Fund managers Mutual fund performance measurement
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment such as in the case of
investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment such as in the case of
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This