prescribing that the auditor to be approved by the SEC must be attached to audit firms having audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall
SEC, in 2010, had revised the rules on approval of auditors by prescribing that the auditor to be approved by the SEC must be attached to audit firms that have audit quality control system in accordance
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
Performance Standards: GIPS®) สำหรับบริษัท (For Firms) 2020 ข้อเสนอแนะของคณะทำงานเพื่อพัฒนากรอบการเปิดเผยข้อมูลทางการเงินที่เกี่ยวข้องกับสภาพภูมิอากาศ ( Recommendations of the TCFD) กองทุนรวม
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law