Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
securities purchasing order while being aware that oneself or an associate has made an order to sell the same securities or will do so at a similar amount and a similar price within a similar period of time
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
to the date of filing. Not being an auditor of the company, its parent company, subsidiary, associate company, a major shareholder, a controlling person, unless such foregoing relationships have
เสนอขายหน่วยลงทุน ของกองทุนรวม โดย (1) ค่าใช้จ่ายในการโฆษณาจากกองทุนรวม (1.1) ต้องกำหนดอัตราสูงสุด (1.2) ห้ามเก็บค่าใช้จ่ายในการจัดทำการส่งเสริมการขาย (promotion) จากกองทุนรวม (2) ค่าธรรมเนียมการจัดการ
, subsidiary, associate company do? Is it a product or a service? From which business is the major income derived? How is the trend of the industry? Can the company compete with other business competitors? Are