considered: 1. Financial statements shall be prepared in accordance with the financial reporting standards that are acceptable to lead regulator and there shall be no expression of opinion that the auditor's
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
registration or any other similar operations from the home regulator: (1) ASEAN collective investment scheme; (2) APEC Asia Region Funds Passport; (3) foreign ETF. 2 “ASEAN collective investment scheme” means a
the offering indicates whether or not the selling securities holders intend to resell all or a large portion of their interests in that class of securities through the offering. IV. ADDITIONAL
and regulations. 3. Financial statements shall be prepared in accordance with the financial reporting standards that are acceptable to lead regulator and there shall be no expression of opinion that the
regulator(s) whether an investment is regulated/registered and how it is regulated/registered. • Check with financial regulator(s) whether the financial service provider/ intermediary is licensed/regulated
securities as listed securities on a foreign securities exchange or other exchanges under supervision of a regulator in foreign jurisdiction shall disclose a report on financial and non-financial information
: https://www.iosco2023thailand.com/________________________ About the SEC Thailand The Securities and Exchange Commission, Thailand is an independent regulator established according to the Securities and
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in