requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
แนะนำการลงทุนตราสารซับซ้อนประเภท 3 (IC complex 1 / IC complex 2 / IC complex 3) (ตารางคุณสมบัติ หน้า 38-49) - คุณสมบัติของผู้ขอความเห็นชอบเป็น ผู้แนะนำการลงทุนด้านตราสารทั่วไป (IC plain) (ตาราง
Capital Market Business Qualifications of Applicants for Approval of Applicants for Approval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex Products