of Business in Capital Market 3.1 Regulatory Summary for preparation and submission of financial statements 3.2 Rules related to CFO and Chief Accountant 3.1 Regulatory Summary for
sponsors T he Chief Executive Officer or the Managing Director (CEO or MD) must make a list of sponsors pursuant to the decision of the board of directors, with the characteristics of each sponsor. The
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
. Signature of the applicant is required. Certification of audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in
audit firm's leader . Signature of audit firm's leader is required. Form 61-2F Certification and consensus of audit firm in the form as publicized in the SEC's website. Signatures of audit firm's leader
the Chief Financial Officer (CFO) and accountants Public Offering (PO) Secondary Public Offering (SPO) Private Placement (PP) of shares: in case of a non-listed company in the stock market Offer to
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
กรรมการ ผู้จัดการ บุคคลผู้มีอำนาจจัดการ (ผู้บริหาร) และ head of compliance (มีคุณสมบัติและไม่มีลักษณะต้องห้าม) ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลักเกณฑ์เกี่ยวกับบุคลากรใน