independence from the profession in the same way as specified by IOSCO. To support competitiveness of Thai listed companies and improvement of financial statements to conform to the international standards, the
activities that indirectly contribute to improvement in the public health and welfare, environment conditions, safety of public lives and assets. 4. The name of fund shall begin with “Infrastructure Fund
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
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent Audit Oversight Handbook for approval of foreign auditors
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018