manager being a director, executive or employee of another company, the mutual fund management company shall prove that the organization structure of is designed or efficient measures installed to prevent
manager being a director, executive or employee of another company, the mutual fund management company shall prove that the organization structure of is designed or efficient measures installed to prevent
Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited company or public limited company to undertake securities finance business shall file an
Regulation. Clause 2 Securities company or organization relating to securities business intending to establish limited company or public limited company to undertake securities finance business shall file an
: Detail Content Management of Mutual Fund 23. Additional rules for foreign investment funds (FIFs) The mutual fund management company may request a relaxation on the following matters: (1) Appointment of
: Detail Content Management of Mutual Fund 23. Additional rules for foreign investment funds (FIFs) The mutual fund management company may request a relaxation on the following matters: (1) Appointment of
to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose name appears in the SEC Office's approved listed. Regulatory summary Related rules and
SET is to operate stock exchange business, having powers to issue various rules and regulations. The Securities and Exchange Act B.E. 2535 specifies that SET is an organization under the supervision of
SET is to operate stock exchange business, having powers to issue various rules and regulations. The Securities and Exchange Act B.E. 2535 specifies that SET is an organization under the supervision of
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its