statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
scope of audit is limited by any act or omission to act of issuers' directors or executives. 2. The issuers shall not fail to file the financial statements or related reports to the SEC/ SET. 3. In case
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
name appears in the SEC Office's approved listed. Regulatory summary Related rules and regulations Related forms Regulatory Summary Duties and scope of work of appraisers In order to value the asset
application for approval prior to the date on which securities company sells shares issued for the purpose of increasing its capital causing such person to be major shareholder; (2) in case other than (1
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of