period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
foreign ETF application to be approved for public offerings in Thailand. Remark: Form 69 – CIS full forms an integral part of Form 35 – foreign ETF . CIS Operator is required to complete Form 69
documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the foreign ETF application to be approved for public offerings in Thailand. Remark: Form 69 – CIS full forms an integral part of
International Standards on Quality Management 1 (ISQM 1); (2) having full-time CPAs and full-time assistant auditors as https://www.sec.or.th/EN/Pages/LawandRegulations/AuditorAccountRegulatorySummary.aspx Thai