supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
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category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
business and credit foncier business; (3) securities company under the law on securities and exchange ; (4) life insurance company under the law on life insurance; (5) financial institution set up under
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financial institution established under other laws; (2) have another securities company held its shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the
has taken part in reviewing major securities regulatory issues with regulators of global financial centers, such as the USA, England, Japan, Australia, and Hong Kong. In addition, the SEC also currently
company licensed to undertake securities business in the category of mutual fund management; (d) life insurance company under law on life insurance; (e) financial institution or legal entity