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
Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the position or the condition that can access inside information through performance of duties; (5) Juristic person whose
Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the position or the condition that can access inside information through performance of duties; (5) Juristic person whose
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
having fulfilled the condition of attending a refresher course in accounting as required by the SEC Notification No. TorJor.39/2559; In case of a foreign company, a chief accountant is required to
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the
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
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