. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
reporting disclosed to the public. The SEC requires the auditor in the capital market to attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market
independence from the profession in the same way as specified by IOSCO. To support competitiveness of Thai listed companies and improvement of financial statements to conform to the international standards, the
Issued Shares in Support of Convertible Debentures or Warrant on Debentures (Form 81-2) Report of Sale of Securities (Form 81-1) Application for Approval of Listed Companies to Offer Newly Issued Shares
utility functions include the functions such as support services for investment units dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd
over two-third of the fund will benefit the unitholders. (7) The mutual fund management company suspects the investors of involvement in an offense of money laundering or financial support to terrorist