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...

การบริหารความเสี่ยง เมื่อวันที่ 13 มกราคม 2552​ 2551 Seminar on Investigation & Enforcement by Mr. Thirachai Phuvanatnaranubala, Secretary-General, Securities and Exchange Commission, Thailand, at the

considered as the commission of offences under (3) and was named in the SEC Office’s complaint filed with the inquiry officer, and the case is in the inquiry officer’s process or the public prosecutor’s

Department of Special Investigation (DSI), and the Narcotics Control Board (NCB), etc. In the case that no wrongdoing is detected, the SEC Office will not store such data. Data for authentication from the

: The SEC filed nine criminal complaints with the Department of Special Investigation and the Economic Crime Division with the total of 33 offenders, 50 settlement cases, and 74.98 million baht fine.   2

: The SEC filed nine criminal complaints with the Department of Special Investigation and the Economic Crime Division with the total of 33 offenders, 50 settlement cases, and 74.98 million baht fine.??2