Persons > Fund Manager > Regulatory Summary Regulations SHARE : Detail Content Fund Manager / Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE
/ Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE : For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076
> Fund Manager Regulations SHARE : Detail Content Fund Manager/Investment Analyst The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory
matters under its supervision in accordance with the governing laws . Conducts liable to the supervision include duty performance of market participants such as securities issuers,approved securities
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
supervision 2.8 Handbook for approval of foreign auditors Introduction Checking whether applicant's qualification meet with Fast Track Approval Conditions Approval Process Relevant laws and regulations