regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
offeror of such outbound product : (1) organizing a roadshow for the general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to invest
the offeror of such outbound product : (1) organizing a roadshow for general investors to meet directors or executives of the issuer or the offeror of the outbound product to solicit the investors to
. Clause 18 In outsourcing investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider, such service provider shall fully meet the following
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
meet the following criteria: (a) having the qualifications and not possessing the prohibited characteristics according to Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or Section 23 of
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and