specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a supervisor, who was approved by the SEC, co-sign to certify completeness of information provided
specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a supervisor, who was approved by the SEC, co-sign to certify completeness of information provided
reporting disclosed to the public. The SEC requires the auditor in the capital market to attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market
) implementing the portfolio according to the asset allocation plan 4) monitoring and rebalancing the portfolio 5) providing consolidated reports for clients' review 4. Equipped
) implementing the portfolio according to the asset allocation plan 4) monitoring and rebalancing the portfolio 5) providing consolidated reports for clients' review 4. Equipped
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2) Dividend payment by issuing investment units to unitholders is prohibited. Retained
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the
limited company to undertake such business with the SEC Office, provided that such application shall be in form and attached with supplementary documents as specified by the SEC. Clause 3 In case where the
disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC Regulation concerning Filing, Considering and Making a Decision on the Appeal of the