juristic person established under Thai law with a main objective of undertaking the business of financial advisor, accounting advisor or legal counselor; (2) Having a specific work unit with a discrete
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statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
standards that are acceptable to lead regulator and there shall be no expression of opinion that the auditor's scope of audit is limited by any act or omission to act of issuers' directors or executives. 2
Securities Dealer о Derivatives Dealer • Advisor о Securities Investment Advisors о Derivatives Advisors • Securities Underwriter • Limited BDU • Bond Dealer
name appears in the SEC Office's approved listed. Regulatory summary Related rules and regulations Related forms Regulatory Summary Duties and scope of work of appraisers In order to value the asset
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scope of audit is limited by any act or omission to act of issuers' directors or executives. 2. The issuers shall not fail to file the financial statements or related reports to the SEC/ SET. 3. In case