first four executives succeeding the manager [and every person holding the position equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be
equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
- - - Registration with the Thai BMA - Required. Required. Ratings - Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2
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
- Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2 capital which have additional conditions that a write-down
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