receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person; (2) with an CPA license being suspended; (3) having a record of being revoked from CPA status, unless where
receivership, bankrupt, incompetent or quasi-incompetent by a court order; (6) Having at least one full-time supervisor who shall be an approved person by the SEC; (7) Being a member of the Investment
receivership, bankrupt, incompetent or quasi-incompetent by a court order; (6) Having at least one full-time supervisor who shall be an approved person by the SEC; (7) Being a member of the Investment
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
SEC has revised rules on granting approval of auditors in its continuing efforts to enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial
) being put under receivership by the court's order; or being an insolvent, incompetent or quasi- incompetent person, (2) being or having been suspension of CPA license during the past three years, unless
, incompetent or quasi- incompetent person, (2) being or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having
director Not having untrustworthy characteristics. For example: Being an insolvent person or an incompetent person Being banned under the law on Supervision of Financial Institutions, either Thai or foreign
Capital The objectives for the determination of minimum paid-up registered capital are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types