supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
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
entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure
incompliance with accounting standards; An opinion that the auditing scope is limited by the company or the company's executives; 3.1.2 Preparation and submission of financial statements for a listed
and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of penalty to be imposed on the offender. Appeal Any person who is affected by, and
Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors Duties Performing the duties with accountability, using knowledge, competency, experience
at least three persons and at least one person must have adequate knowledge to review the reliability of financial statements. The scope of power and duties is clearly specified. Directors
Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors Duties Performing the duties with accountability, using knowledge, competency, experience