investigation against the Defendant’s properties and it has been found that the Defendant does not currently engage in any business whatsoever and is in the progress of bankruptcy proceeding with the debtor. 1.2

ตั้งขึ้นเฉพาะกิจ เชน กองทุนเพื่อแกไขปญหาในระบบสถาบันการเงิน เปนตน 2 Principle 8 states that the regulator should have comprehensive inspection, investigation and surveillance powers. Principle 9

Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, Warot and Jeeranan, former EY assistant auditors, were involved in irregular securities and

and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office

examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the

[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...