information to investors, and a good disclosure of information should be free flow, namely, investors should have equal access to information. Information must be accurate, reliable, adequate and timely. In
the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
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
preparation and submission of financial statements The financial statements and consolidated financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section
working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out https://www.sec.or.th/EN/Pages/LawandRegulations
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
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
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc