) 3 The identity Card of Registrar and Competent Officer B.E. 2532 SHARE : For More Information ContactUs Legal Department -Corporate and Administrative Cases Tel. +66-2033-9525 Was this
entities conform to accounting standards, auditing can no longer relies only on individuals but also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and factors to select products on the
with an electronics platform in rendering services. An arrangement of knowledgeable and competent staffs is required for taking part in determining processes and factors to select products on the
approval shall be terminated. Clause 8 In connection with applying for securities business license in the category of investment advisory service under this Ministerial Regulation, the competent officer
not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a supervisor, who was approved by the SEC, co-sign to certify completeness of information provided