advised to exercise discretion in making mutual fund purchases and should request purchase evidence at the point of sale, which must be generated by proper system to ensure completion of their purchase
March 31, 2019 which is 173,851,378.53) Please be advised accordingly Yours faithfully, Prasertsak Suwanpotipra Managing Director (Translation) (Additional disclosure) Information Memorandum Relating to
: Equal score to last year?s assessment due, in part, to little progress on regulatory reform over the past two years. In addition, the SEC and the Stock Exchange of Thailand (SET) were advised to enhance
provided for general understanding. Reporters on changes of securities and derivatives holding are advised to consult the Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 38
client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into
the Share Purchase Agreement by August 31, 2017 (“Exclusivity Period”). During the Exclusivity Period, there was inconsistent circumstance and there were confidential information relating to this
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
and protect confidential information of private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel