(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
worth investors or big retail investors shall be approved by the SEC Office if the following criteria are met: (1) having the CIS operator who meets the following conditions: (a) being under supervision
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
Public Offering for Sale of Securities as long as the scheme is in keeping with the following conditions: (1) being subject to supervision of home regulator which has jointly signed with the SEC Office in
rendering a financial support that will later generate the right to acquire shares of such business, and being 2 involved in the supervision of the business plan, the operation or the improvement of the
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading
issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading of the outbound