.  Some salespersons of financial products focus on sales figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term

.  Some salespersons of financial products focus on sales figures and brokerage commissions, giving less importance on recommending products suitable for investors' risk tolerance and their long-term

investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt repayment in the form of securities or other assets by funds. Authority of the SEC Fund managers Mutual fund performance measurement

investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt repayment in the form of securities or other assets by funds. Authority of the SEC Fund managers Mutual fund performance measurement

  Acceptance and Continuance of Client Relationships and Specific Engagements  Engagement Performance ​ Resources  Information and Communicatio​ n Monitoring and Remediation Proces  ​ Regulatory Summary of

investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment  such as in the case of

investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment  such as in the case of

รับและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและงานที่มีลักษณะเฉพาะ (Acceptance and Continuance of Client Relationships and Specific Engagements) การปฏิบัติงาน (Engagement Performance)​ ทรัพยากร (Resources