> 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
Malaysia, the Monetary Authority of Singapore and the Philippines Securities and Exchange Commission have signed a Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional
of foreign auditors 2. 9 International Relations Supporting Accounting Profession to be in line with International Standards Auditor Supervision Regulatory Summary of Approved Auditor in Capital
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
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
the Capital Market on October 1, 2010, the SEC has continuously performed both firm-level inspections and engagement inspections of the auditors under its authority with major concerns and findings from
future adequacy of the firms’ human resources. In particular, there has been a lack of competent workforce in the audit profession due to the audit firms’ high turnover rate. Furthermore, a declining