The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

management to asset management licensee will be permissible, subject to the specified rules. In addition, REIT holding limit will be relaxed where a REIT trustee will be able to hold up to 50 percent of the

set up and manage mutual funds. SEC has developed a system and revise the regulations for submission to set up and manage mutual funds with a filing via electronics system: the Online Fund Approval and

mutual funds under management of the same asset management company only up to two tiers for general mutual funds may not be flexible enough.  The SEC has therefore revised the governing rules in this

for the same period of last year. The details are as follows: - The revenue from sales and service amounted to Baht 121.32 million, up by Baht 14.39 million or 13.46 % compared to the same period of

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

every firm  passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take

with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up

-organized by the SEC and the FAP for the second consecutive year, the SEC has streamlined the work procedures and increased manpower to speed up the auditor approval process, resulting in significantly