, and encouragement would be given to business operators to be able to adjust and expand their business. Accordingly, SEC will give priority to the participation of the business sector in giving
audit firm; (2) To relax the requirement on the number and nature of business whose financial statements must be given an opinion and affixed with the auditor’s signature, as well as to adjust the
and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with
with the risk level, with an explanation on the risks based on the fund’s risk level, which is between 1 – 8. The management company may adjust the explanation to be consistent with the investment policy
quarter ending 30 June 2018, amounting to Baht 16.68 million, an decrease of Baht 47.93 million or 74.18% over the same quarter last year, due to the following significant factors : 1. Profit from
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
money laundering, etc. Moreover, the issuer must not violate or fail to comply with the law, which may cause severe and significant effects on the issuer’s business; (2) Empowering the SEC to lay out
, and an annual report including: (1) policy and arrangement of the company to prevent corruption, its response to any conflicts which might have significant impact on the company and any related legal