; lack of professional ethics or violation of or non-compliance with the regulations under the law governing accounting professions and other additional regulations prescribed by the law governing
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
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 other information or taking any
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
dealing 3. Investment advisory service 3. Derivatives advisory service 4. Securities underwriting 4. Derivatives fund management 5. Mutual fund management 6. Private fund management
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech
of financial planning to really and to put into practice . In parallel, we support service providers of financial planning accessible by the general public. Furthermore, we encourage uses of FinTech