the case of an open-end fund, the information must be made available at office of the mutual fund management company /selling agents. Authority of the SEC Fund managers Mutual fund performance
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
Digital Economy and Society, to issue 90 public warnings, (3) Filing 10 criminal complaints with the authority regarding investment scams that falsely claimed association with the SEC by using the names
ขึ้น และ สืบเนื่องจากโครงการดังกล่าว ในการประชุม ASEAN Capital Market Forum ณ ประเทศฟิลิปปินส์ เมื่อวันที่ 16 สิงหาคม 2550 Monetary Authority of Singapore (“MAS”) และสำนักงานได้ร่วมลงนาม
management company appointed to have authority to invest for the fund; “Underwriter” means any securities company licensed to undertake securities business in the category of securities underwriting
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part H: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
measures for employees of securities company and listed company who provide information to authority, which is specified in Section 89/2 “No securities company or company shall perform any unfair treatment
, as a policy-maker and executive authority, plays an important role in establishing an appropriate accounting system and internal control system, as well as arranging resources, mechanisms and tools
management company /selling agents. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional rules Calculation and