publication in the Government Gazette. SECTION 8 . The Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform duties under
have the power to impose administrative sanctions under Section 67(1), (2), (3), (4), (5) or (6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the
Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading