by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities Businesses (amended by No. 12 and No. 19) 5 Application for Additional Securities Business License B.E. 2539
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force; (4) be the securities company established upon the separation of finance and securities businesses of the
) be the securities company established upon the separation of finance and securities businesses of the securities company with disqualified characteristics under sub-clause (3); (5) have financial
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
. Competitive businesses Clear separation of target group of customers or markets; There are other groups of shareholders that can counterbalance; Major shareholders have more interests in the listed company
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or