interest entities; and - Exercising that responsibility either directly or through independent oversight. Reference : เอกสารแนบ 1 2 https://www.ifiar.org/IFIAR/media/Documents/General/About%20Us/Charter
of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1
, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
-bank listed companies. Promoting SEC Effective Growth and International Recognition The SEC is committed to improving the audit oversight system in the capital market to be in line with the international
able to express their opinion objectively as to whether the financial statements are faithfully represented. Through our oversight system, the Securities and Exchange Commission of Thailand (“SEC”) has
experienced professionals may also be required. Other than the oversight of audit quality through constant review of the auditors’ workpapers, the SEC reviews IPO companies’ and listed companies’ financial
ผูถื้อหน่วย โดยมีประเด็น ส ำคญัจำกกำรรับฟังควำมคิดเห็น ดงัน้ี 4.1 การปรับปรุง governance ของกองทุนรวม (1) การก าหนดผู้ทีจ่ะมาท าหน้าทีต่รวจสอบดูแลการด าเนินงานของ บลจ. (oversight) ส ำนกังำนเสนอให ้บลจ
efficiency of such oversight. In so doing, the SEC engaged an independent research institute to conduct a comparative study on the oversight of audit firms and auditors in the capital market between the Thai
but are merely indications. For the avoidance of doubt, the eligible fund types of Thai Covered Funds classified by Thai laws and regulations are defined in Annex C to this circular. 3 For the avoidance