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

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

grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and

authority to set out rules, conditions and procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment

grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and

147) |-    Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays

|- Related Circular Letter    Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93

oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact

การเงินจากหลายประเทศทั่วโลกเข้าร่วม อาทิ Securities and Exchange Commission (สหรัฐอเมริกา) Financial Conduct Authority (สหราชอาณาจักร)  Monetary Authority of Singapore และ Bank of Ireland  โดยมีนาง

concerning seizure or attachment of assets which is issued by an authority. (b) the mutual fund management company’s Know Your Customer process fails and thus significant facts about the customer are not known