with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
Management of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have
operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. Clause 6. The SEC shall consider and issue an order relating to the
ลักษณะอย่างใดอย่างหนึ่งดังต่อไปนี้ (ก) ตัวตราสาร หรือผู้ออก หรือผู้รับอาวัล หรือผู้ค้ำประกัน ได้รับ rating ในระดับ investment grade จากสถาบันจัดอันดับความน่าเชื่อถือที่ได้รับการยอมรับจากสำนักงาน (issue