sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or
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
authority to set out rules, conditions and procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment
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
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
Regulators Group (AARG) ครั้งที่ 6 วันที่ 26 สิงหาคม 2559 ณ ประเทศสิงคโปร์Accounting and Corporate Regulatory Authority (ACRA) เป็นเจ้าภาพในการจัดการประชุมครั้งนี้ โดยมีผู้เข้าร่วมประชุมกว่า 100 ราย ประกอบด้วย
have received from the SEC Office without disclosing them to any unauthorized persons. In any case, if the Username and the Password become known or used by any persons who do not have the authority or