operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so doing, the association must acquire a license and register with the SEC. The SEC
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
; 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
shall perform duties in accordance with standards and ethics regarding appraisal profession and with additional requirements regarding asset appraisal for widely used. In this regard, the appraisal report
comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose the following orders: rectification of non-compliance operation, restriction of
Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by
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
Business (As amended) By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 "Undertaking securities finance
virtue of Section 90 of the Securities and Exchange Act B.E. 2535 in conjunction with Clause 1 of the Ministerial Regulation No.4 (B.E. 2535) promulgated under the Securities and Exchange Act B.E. 2535