investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
Exchange and Derivatives Clearing House dated 16 May 2005 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor
Thailand Taxonomy Board The Thailand Taxonomy Board is established to develop Thailand Taxonomy, a classification system of economic activities deemed as environmentally-sustainable. The Board comprises agencies from both the public and private sectors to ensure all sectors’ views are reflected. In the initial phase, the list of agencies is as follows: 1. Bank of Thailand (BOT)* 2. The Securities and Exchange Commission, Thailand (SEC)* 3. Office of Natural Resources and Environmental Policy and...
operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under Paragraph 1 to
a derivatives broker which has ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require
ceased operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and