Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force
Derivatives Act B.E. 2546 (2003) ; (b) having the qualifications and not possessing the prohibited characteristics as specified in Chapter 3; (c) having obtained an approval from the SEC Office prior to
prior to performing function, except for any of the following cases: 1. the intermediary is a financial institution established under other laws and licensed to undertake securities business as prescribed
Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its
days prior to the appointment date; (2) report on termination of appointment of fund managers which shall be submitted within fourteen days as from the termination date. The management company shall
provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the appointment date; (2) report on