Dealing of Debt Securities Securities Borrowing & Lending Securities Financing Derivatives Broker Limited to Agriculture Product Derivatives List of Securities Businesses
which the auditor is attached as prescribed by the regulations summarized below: Individual Qualifications (1) being a certified public accountant whose license is still valid; (2) being a leader of an
and professionals Carrying out businesses with greater flexibilities; getting supports for strengthening competitiveness; being assured of stability of the systems monitored and maintained to
of directors and executives of issuing companies. Qualifications of a director Not having untrustworthy characteristics. For example: Being an insolvent person or an incompetent person Being
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
(unofficial) - Electrical Grids & Storage ENG THAI (unofficial) - Agriculture ENG THAI (unofficial) Standards / Principles / Guidelines ASEAN
; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion