Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
เสนอขายหน่วยลงทุน ของกองทุนรวม โดย (1) ค่าใช้จ่ายในการโฆษณาจากกองทุนรวม (1.1) ต้องกำหนดอัตราสูงสุด (1.2) ห้ามเก็บค่าใช้จ่ายในการจัดทำการส่งเสริมการขาย (promotion) จากกองทุนรวม (2) ค่าธรรมเนียมการจัดการ
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
. Investments in infrastructure assets Three Types of qualified investments are: direct investment through obtaining ownership of assets: suitable for infrastructure assets with transferable ownership such as
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents