company; "financial institution" means any financial institution in accordance with law on interest on loan granted by financial institution; "SEC Office" means the Office of the SEC. Clause 2 No
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
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
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
> Ministerial Regulations > MRSArchive Ministerial Regulations SHARE : Detail Content Archive No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
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
after a specified period. The guarantor shall be a juristic person (not the mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank