Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund
commitment to improve our supervisory standards to be widely recognized in an international arena. More details on IOSCO MMoU can be found at : https://www.iosco.org/about/?subsection=mmou • IOSCO
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
company shall (1) calculate and correct the investment unit values retroactively from the day that the incorrectness was found; and (2) prepare a report on the corrections of the past investment unit values
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
day that the incorrectness was found; and (2) prepare a report on the corrections of the past investment unit values to submit to the mutual fund supervisor and take any actions to inform the investors
company where noncompliance with limitation on unitholding has been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or
preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017