Securities and Exchange Commission No. Kor Jor. 17/2557 Re: Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Securities, dated December 15, 2008 (B.E. 2551), the
. Mutual fund management 6. Private fund management Regulatory Principles Paid-Up Registered Capital The objectives for the determination of minimum paid-up registered capital
or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the Securities and Exchange Commission No. Kor Jor. 17/2557 Re: Determination of Definitions in
the issuer (parent company, subsidiaries, subsidiaries of the same level or associated companies), any shareholder of the issuer who holds 5 percent or more of the total shares, the directors
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
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
Commission No. KorJor. 17/2551 Re: Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Securities The Notification of the Securities and Exchange Commission No. KorChor. 18
under the good quality control system both at firm level and engagement level. In response to the aforesaid, the SEC has revised rules on granting approval of auditors in its continuing efforts to
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing