-year period before the filing date of the application for approval with the SEC Office, and having worked as an audit supervisor or the final audit reviewer before an auditor affixes signature in giving
to the mutual fund supervisor of Thai Covered Fund. 7 To the extent there are requirements on minimum notice period and content of or template for notice to Hong Kong investors under relevant Hong Kong
Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to changing customer behavior, regulatory changes and life platform-driven competition. Given the
appropriate trainings and experiences. Opportunity for career advancement The SEC’s past inspections suggested that some audit firms had difficulties implementing their succession plan due to their unbalanced
, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company
supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to
fund supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as
fund supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as
supervisor, to investors and the general public by efficient method which sufficiently allows investors and the general public to uninterruptedly obtain such information at all times as appropriate to the
, details of investment, financial position, expenses and opinions of the fund supervisor, to investors and the general public by efficient method which sufficiently allows investors and the general public to