business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
business license (if any); (3) copy of securities business licenses already obtained; (4) the most recent certificate of company registration issued by the partnership and company registrar, the Ministry of
for All Regulations SHARE : Detail Content Wealth Advice for All Regulatory Summary Related Rules/Regulations Related Forms Thailand is presently stepping into an aging society, but most Thai
) Announce the offering and redemption prices of the latest trading day on the following business day. 6.3 Mutual fund with investment in foreign assets The mutual fund with most of the investment in foreign