to ensure efficient control and supervision of the service provider’s operation and management of the risks associated with the outsource; (6) consider the selection of a service provider with care as
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
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
management company appointed to have authority to invest for the fund; “Underwriter” means any securities company licensed to undertake securities business in the category of securities underwriting
establishment of Thai Feeder Funds and Hong Kong Feeder Funds [ effective upon the signing of HK-TH MRF MoU] The SEC agreed to expedite the approval process of a Thai Feeder Fund investing in a Hong Kong Master
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
แบบแจ้งชื่อผู้บริหารของบริษัท “For effective filing, fill out Form 35-E1 via the SEC electronic filing system only , print out the completed form, affix the authorized signature and submit the
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...