on such previous occasion, as grounds for any subsequent disapproval. Clause 15. In cases where any management company has a mutual fund manager who possesses any prohibited characteristics as per
Securities and Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6
Exchange Commission No. SorNor. 27/2550 Re: Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager __________ By virtue of Clause 2 (1), Clause 10 and Clause 19 of the Notification of
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
of the employee’s assets transferred from his previous fund or from the Government Pension Fund, provided that the transfer of such assets to the fund shall be in accordance with the rules and
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
characteristics ”5 means other capital market products which is not capital market product having high-risk or complex characteristics; “ general manager ” means a person who is assigned by the board of directors
under the Interest on Loan of Financial Institutions Act B.E. 2523 (1980) , except as specified in Chapter 7. “ capital market product ” means securities and derivatives. “ general manager ” means a
. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation