Important points Who are the directors or executives? What is the scope of their powers? Who are the independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the
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activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
the accounting periods that the mutual fund have retained earnings or net profit, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2
responsibilities that go beyond the scope of auditor's work, as the International Standards of Auditing (ISA 240 - The Auditor's Responsibilities Relating to Fraud in an Audit of Financial Statements) has covered
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
sanctions on two offenders for colluding in the insider trading of COL shares 01/08/2024 Download All Document No. 156/2024 SEC revises Thai ESG rules to broaden investment scope and strengthen asset
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit