- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Examination results of CISA Level 1 or higher, CFA Level 1 or higher, FRM or CFP may be used to apply for approval as IC-plain products / IC- complex products In case of foreign CFA, FRM or CFP courses
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
under the good quality control system both at firm level and engagement level. In response to the aforesaid, the SEC has revised rules on granting approval of auditors in its continuing efforts to
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
. *Except agricultural derivatives licenses whose the minimum registered capital remains at the previous level of 50 million baht. ** It should be noted that as Section 96 of the Securities and Exchange Act
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of