Contact who is also authorized to analyze value or suitability of trading or investing in securities and Category B Investor Contact who is not authorized to analyze value or suitability of trading or

would like to explain and analyze the operating results that have changed for Quarter 3 Ending 30 November 2019 with the following details: Unit : million baht Statement of financial position for the 3

increase training programs for the analysts on the techniques to identify suspicious transactions in the financial statements presumed to be falsified, leading to the ability to analyze abnormalities in

/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm

efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages

the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a

hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the

be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the

laws and related rules in which the management company should be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the

may hold at any time. In consideration of pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the