Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the
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
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
loan agreements entered by commercial banks or finance companies pursuant to the Law on Commercial Banks or the Laws on Finance Business, Securities Business and Credit Foncier Business. (5) derivatives
force from 16 April 2002. Notified this 28th day of March 2002. - Signature - (Mr. Somkid Jatusripituk) Minister of Finance Chairman of the Securities and Exchange Commission Published in the Government
shall come into force as from 16 October 2004. Notified this 8th day of October 2004. Somkid Jatusripitak (Mr.Somkid Jatusripitak) Minister of finance Chairman of the Securities and Exchange Commission
hospitality received by the audit, firm, key finance, accounting and audit personnel and immediate family members? 13 Does the firm have any engagements where it acts as a principal auditor or accountant and