Detailed explanation concerning particular risk on the company Chance of risk occurring Effects on the company if the risk occurs Type of operation Important points What kind of business does the company
investment units of mutual fund; 2) Redemption payment in the form of securities or other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
ดำเนินงาน เช่น 1) การขาย รับ หรือซื้อคืน การเพิ่มหรือลดจำนวนหน่วยลงทุน 2) การชำระค่าขายคืนหน่วยลงทุนด้วยหลักทรัพย์หรือทรัพย์สินอื่นของกองทุน (pay-in-kind) 3) การคำนวณมูลค่าหน่วยลงทุนหรือราคาหน่วยลงทุนไม่
statements. The scope of power and duties is clearly specified. Directors / executives must not have untrustworthy characteristics pursuant to the specified criteria and have their names on the database
adverse opinion on the financial statements; A qualified opinion on any significant transaction that incompliance with accounting standards; An opinion that the auditing scope is limited by the company or
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of
holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and