Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
shares sold of such advisor, mutual fund supervisor, assets assessment company and property management person, as the case may be; 2. Person which holds shares or be a partner of the person in 1. exceed 30
supervisor, assets assessment company and property management person, as the case may be; 2. Person which holds shares or be a partner of the person in 1. exceed 30 percent of total shares sold or amount of
of total shares sold of such advisor, mutual fund supervisor, assets assessment company and property management person, as the case may be; 2. Person which holds shares or be a partner of the person in
) EY 4 EY EY AQI 3 EY (3:1) 6:1) EY senior manager manager EY staff turnover 27.33%) (20.31%) EY EY career path) succession plan) EY 3.5 (Engagement Performance) EY engagement partner ) EY 2 engagement
ภาคผนวก 1. ค านิยาม 1.1 ผู้สอบบัญชีหลัก (“key audit partner”) หมายความว่า ผู้สอบบัญชี ที่รับผิดชอบงาน ผู้สอบทานการควบคุมคุณภาพงาน หรือผู้สอบบัญชีอื่นในกลุ่มผู้ปฏิบัติงาน ซึ่งเป็นผู้ตัดสินใจหลักหรือ
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor