interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the Securities and Exchange Commission No. Kor Jor. 17/2557 Re: Determination of Definitions in
* Maintaining clients' assets in custody 25 million baht** Providing management services of Mutual Fund (MF), Private Fund (PF) Derivative Fund Manager (DF) to general investors 25 million baht Providing
. Securities Registrar Provides service in preparing and maintaining the register book of securities holders, transfer of securities ownership, pledge and seize, as well as the closing of the book in order to
either wholly or partially until the said securities company rectifies such matter. In this juncture, the SEC may also order the securities company to undertake any step for the purpose of maintaining
: performing audit works with accountability in accordance with the professional code of ethics and regulations, maintaining audit quality management system in compliance with International Standards on Quality
professional code of ethics and regulations, maintaining audit quality management system in compliance with International Standards on Quality Management 1 (ISQM 1), monitoring audit partners' work to ensure