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
) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
the last day of serving the previous audit firm. 6. Termination of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the
of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the qualifications, or approval is revoked or suspended for the remaining
only the auditing of financial statements? A: Section 89/25 expected auditor to inform the facts on suspicious circumstances discovered during auditing of financial statements, it does not expect auditor
(Private Fund) Life/ Non-life Insurance Companies Providend Fund Government Agencies/ Association/ Other Institutes : 1. Government Pension Fund 18 May 2017 Signatory Declaration (Thai version only