phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
examination and law enforcement are carried out in a unified and tangible manner. Information held by the SEC may be utilized for enforcement under multiple laws. At the same time, information or unlawful
Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In
Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency
for sales staff, traveling and vehicle expense for sales staff, cost of advertisement media for product promotion, compensation paid to Zuellig Pharma Ltd. under the Distribution Agreement and
expense for sales staff, cost of advertisement media for product promotion, compensation paid to Zuellig Pharma Ltd. under the Distribution Agreement and compensation for distribution of the Company’s
-39.91 -30.16 -41.62 11.46 -27.53 Income tax (expense) revenue -1.56 0.46 4.70 -2.02 -439.13 -6.26 -133.19 -1.10 8.27 -9.37 -113.30 Actuarial gain (loss) - - - - - - - - 0.41 -0.41 -100 Net profit (loss
-24.31 3.46 -24.21 13.48 -55.45 -41.00 -65.92 24.92 -37.80 Income tax (expense) revenue 0.53 -1.56 0.39 2.09 -133.97 0.14 35.90 -0.57 8.66 -9.23 -106.58 Actuarial gain (loss) - - - - - - - - 0.41 -0.41