reasonably suspect of their being threats to the economy and stability of the country or to the public order or morality, the SEC has the power to refuse registering the persons as directors of the
not becoming an empty box (without business operations). The intermediaries are required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2
days consecutively in the following cases : (8.1) To protect the interests of the unitholders; (8.2) To maintain the economic and financial stability of the country; (8.3) To maintain the stability
days consecutively in the following cases : (8.1) To protect the interests of the unitholders; (8.2) To maintain the economic and financial stability of the country; (8.3) To maintain the stability
เป็นการไม่ประกอบธุรกิจ (empty box) โดยผู้ประกอบธุรกิจต้องกำกับดูแลผู้ให้บริการอย่างมีประสิทธิภาพ (ยกเว้นงานกลุ่ม 2) การแต่งตั้งที่ปรึกษาทางการลงทุน (Investment Advisor: IA ) ตามมาตรา 100 * ใช้
equivalence to that of the EU Member States , or iii. an independent audit regulator of a country that has been assessed under the Financia Stability Assessment Program (FSAP) and
Financia l Stability Assessment Program (FSAP) and earned the assessment results on the topic relating to auditing at least “broadly implemented" level 2.8.3 Approval Process