suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority.   (8) The SEC is empowered to instruct the

suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority.   (8) The SEC is empowered to instruct the

/Pages/LawandRegulations/IndependentAuditOversight.aspx English (United States) AuditorAccountRegulatorySummary Qualifications (1​) having audit quality control system which is in compliance with the

mutual fund in compliance with the accounting standards prescribed by related regulations on accounting.  The financial reports must be audited and given opinions by the auditors who has been approved by

fund 4.1 A mutual fund management company shall prepare the financial statements of the mutual fund in compliance with the accounting standards prescribed by related regulations on accounting.  The

pros and cons and the costs of compliance ​4. ​Seek approval for the measure from SEC Board/CMSB/SEC Office ​5. ​Conduct public consultation on the measure: focus group meetings/public hearings ​ ​This

Qualifications (1​) having audit quality control system which is in compliance with the International Standards on Quality Management 1 (ISQM 1); (2) havi​ng full-time CPAs and full-time assistant auditors as

integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the

after the end of annually period, whichever is the sooner. Annual Compliance Report (SEC Circular SEC. Gor. 15/2538) To be filed within 60 days of the following year. Other Reports​ Report on Gross

ถือหุ้นรายใหญ่ในปัจจุบัน แบบฟอร์มสรุปสาระสำคัญของระบบงานด้านการประกอบธุรกิจและการกำกับดูแล (business & compliance)​ ​ แบบขอรับความเห็นชอบผู้บริหารของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล แบบรับรองประวัติบุคคล