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
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
Technology Audit) (แนบท้ายประกาศที่ สธ. 38/2565) แบบ RLA (Risk Level Assessment) [สำหรับการนำส่งรอบที่ 1 ปี 2566] คำอธิบายประกอบการจัดทำแบบ RLA แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและแผนการปรับปรุง
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain