redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
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
business without no minimum limit for project value; (2) investment in a multi-infrastructure assets shall have investment value in each business ≥ 500 million baht 3
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and