Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
ข้อมูลใน Library 'Site_Menu_Detail' กรุณาเพิ่มข้อมูลใน Library ดังกล่าว กฎเกณฑ์ SHARE : Detail Content นิติบุคคลที่ประกอบธุรกิจ (Regulated Entities) เกณฑ์การประกอบธุรกิจ ( Rules and Regulations ) นาย
, 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
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
financial disclosure system of the entities and auditors, the SEC has revised the rules on approval of auditors by prescribing additional qualifications and prohibited characteristics of auditors, as well as
under the good quality control system both at firm level and engagement level. In response to the aforesaid, the SEC has revised rules on granting approval of auditors in its continuing efforts to
SEC, in 2010, had revised the rules on approval of auditors by prescribing that the auditor to be approved by the SEC must be attached to audit firms that have audit quality control system in accordance
country (home economy) to be offered publicly in other participating countries (host economies) through locally licensed or regulated distributors upon approval as an ARFP fund and host jurisdiction