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
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
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
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
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
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
performing function of financial advisory; (3) Having operational rules and guidelines of financial advisory functions which are precise, reliable, secure and sufficient in accordance with the professional