constant NAV (MMF constant NAV) Investment in funds under the same mutual fund management company https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English (United States
company https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English (United States) Preparationoffinancialstatements rules for exchange traded funds (ETFs) Additional
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
, finance company, securities company (broker/dealer/TSFC) or a foreign financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds