Exchange Act B.E 2535 Minister The Securities and Exchange Commission Registrar The SEC Office Trade Association Associations related to securities businesses Summary of major provisions in supervising the
of Appraisal Profession under the first paragraph shall be recognized by the SEC as an appropriate organization for supervising and promoting appraisal profession as prescribed. Related Rules and
highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
Firm Qualifications having audit quality mangement system which is sufficient and reliable for supervising its auditor'work in compliance with the professional standards on a continuous basis. Such
sufficient and reliable for supervising its auditor's work in compliance with the professional standards on a continuous basis. Such audit quality management system shall comply with the international standard
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which