international, and better facilitate Thai companies in cross-country raising funds. Independent Audit Inspection Activities Report 2022 Independent Audit Inspection Activities Report 2021 Independent Audit
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
inspection prior t o approval. (2) Normal: auditors who do not meet the Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a
: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central utility functions include the functions such as support services for investment units
operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system and human resources promptly for operating
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its