internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities
company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Representatives of Private Funds By virtue of Section 14 and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls