association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
Duties Performing the duties with accountability, using knowledge, competency, experience, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing
regarding unfair securities trading activities. (7) not having the following prohibited behaviors; lack of professional ethics or violation of or non-compliance with the regulations
for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal profession and with
qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
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
Securities Business in the Category of Venture Capital Management B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act