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
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
taking custody of clients' assets 10 million baht. Others 1 million baht. *Except agricultural derivatives licenses whose the minimum registered capital remains at the previous level of 50 million baht
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 majority resolution by unitholders of each fund
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 majority resolution by unitholders of each fund
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and announcement of the NAV and investment unit values of closed-end funds (5) Calculation and
manager being a director, executive or employee of another company, the mutual fund management company shall prove that the organization structure of is designed or efficient measures installed to prevent