. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
particularly address audit quality control at both firm and individual engagement level, which are summarized as follows: 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.2 List of SEC
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
the last day of serving the previous audit firm. 6. Termination of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the
approved auditor s (Reference to clause 6(2) and Clause 8) Individual Qualifications being a certified public accountant whose license is still valid, being a leader of an audit firm or
under the same mutual fund management company SHARE : For More Information ContactUs Investment Management Policy Department Tel. +66 2263 6562 Was this page helpful? Yes No Comment
management company may request a relaxation on the following matters: (1) Appointment of fund managers as approved by the SEC. (2) Preparation of and submission to the SEC a report on fund managers' starting
Funds with constant NAV (MMF constant NAV) Investment in funds under the same mutual fund management company SHARE : For More Information ContactUs Investment Management Policy Department Tel. +66 2263
under the same mutual fund management company SHARE : For More Information ContactUs Investment Management Policy Department Tel. +66 2263 6562 Was this page helpful? Yes No Comment