professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under
professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
offense under the law controlling business operation of such person or any other law relating to financial business, both of which concern unfair securities trading practices or cheating, fraudulent or
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
the course of its review on the financial statements, or any cases where the benefit of the securities holders, investment decision, or price of the securities might be impacted, the SEC will order the
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed