> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
their interests and on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN
transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
responsibilities of ownership are appropriately and fully delivered in their interests and on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional
Inspection Workshop ครั้งที่ 3 มี 9 หน่วยงานกำกับดูแลผู้สอบบัญชีเข้าร่วม ได้แก่ Audit Oversight Board Malaysia (AOB), Accounting and Corporate Regulatory Authority Singapore (ACRA), Securities and Exchange
decentralized approval authority, multi-sign approval authority, and check and balance. In case of a withdrawal or transfer of fiat money at an amount from 2 million baht to not exceeding 50 million baht, digital