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
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
standard in undertaking financial institution business or for professionals engaging in financial business; (11) has been suspended the business operation by the Thai or foreign authorities empowered to
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
(IFIAR) Financial Accounting Standards Board (FASB) International Accounting Standard Board (IASB) Supporting Accounting Profession to be in line with International Standards Auditor Supervision
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
August 2010 8 STANDARD CHARTERED BANK (THAI) PUBLIC COMPANY LIMITED 3 September 2010 9 TISCO BANK PUBLIC COMPANY LIMITED 9 March 2011 10 UOB BANK PUBLIC COMPANY LIMITED 25 May 2012 11 FINANSA SECURITIES
ISO 37001 Anti-Bribery Management Systems Standard ISO Foreign Corrupt Practice Act USA Bribery Act 2010 UK OECD working group on bribery OECD ICGN Statement and