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
must disclose the minimum requirements in a format and within the https://www.sec.or.th/EN/Pages/LawandRegulations/ShareWarrant.aspx English (United States) IndependentAuditOversight found in various
shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an
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
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
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
firm that the applicant is attached with whether such system is in accordance with the ISQM 1, ask the applicant for clarification on any issues found from the review of the audit works and inspect of
in accordance with the ISQM 1, ask the applicant for clarification on any issues found from the review of the audit works and inspect of the audit quality management system. The SEC will notify the