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
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
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
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
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