audit firm or equivalent or being a partner of an audit firm or equivalent; (3) having met either of the following audit experiences criteria; (3a) General cases: - having affixed signatures for giving
. Some salespersons of financial products focus on sales figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term
additional regulations prescribed by the law governing securities and exchange, preparing a summary of types of auditor's report in a specified form Form 61- 4F , providing explanation or submitting any
securities and exchange, preparing a summary of types of auditor's report in a specified form Form 61- 4F , providing explanation or submitting any other information or taking any other necessary actions as
Act B.E. 2535. Clause 3 Undertaking of inter-dealer brokerage under Clause 2 means providing of the services for consideration in forms of brokerage fee, other fees or other remunerations as a
be subject to action under the SEC notification regarding the qualifications and prohibited characteristics. In exercising the discretion to giving such instructions, the SEC takes into consideration
years; (4) The agreement contains a statement that customs have the right to terminate the agreement for management of a private fund within five business days without giving prior notice to the private