and offering of shares Request for approval Disclosure of information Subscription/ sale and allocation Post-offering duties Request for Approval Directors, executives and majority shareholders do not
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
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
ลงทุน (risk spectrum) เดียวกัน ต้องได้รับมติเสียงข้างมากของแต่ละกองทุนรวม (2) กรณีควบรวมกองทุนระหว่างกองทุนรวมที่มีนโยบายการลงทุน ความเสี่ยง และระดับความเสี่ยงของการลงทุน (risk spectrum) แตกต่างกัน ต้อง
. Sales reports – issuers are required to report the sales of debt securities to the SEC within the required timeframe. Post-offering obligations – issuers are required to make complete, timely and accurate
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