;ในทวีปยุโรปภายใต้หลักเกณฑ์ AIFMD      ด้วย European Securities and Markets Authority ("ESMA") ได้ออกหลักเกณฑ์ Alternative

ข้อมูล on-line ต่อสำนักงาน จะต้องขอสมัครสมาชิกใบรับรองอิเล็กทรอนิกส์ผ่านระบบ SEC Certification Authority (SEC-CA) ทางเว็บไซต์สำนักงาน https://capital.sec.or.th

Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors

: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which

charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

governance? 3 Does the engagement partner have the appropriate capabilities, competence, authority and time to perform the role? 4 Do the responsibilities of the engagement partner are clearly defined and

-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and

managers. A six-month report shall contain at least the information items from (1) to (10).​ Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual

company shall dissolve the fund according to the rules.​​ Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional