requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the position or the condition that can access inside information through performance of duties; (5) Juristic person whose
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
having fulfilled the condition of attending a refresher course in accounting as required by the SEC Notification No. TorJor.39/2559; In case of a foreign company, a chief accountant is required to
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
a ready condition to seek for benefits Consider distribution of profit shares to the trust unitholders Organize meetings of the trust unitholders annually, and by request of the unitholders Related