: Fund Information 1) Name of NRI CIS: ________________________________________________________ 2) Home Jurisdiction: ________________________________________________________ 3) Home Regulator

.” Unofficial translation FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [company’s name] filed on Position in the Company Director [ ] President

period. Additionally, the company failed to prepare and submit reports on its information technology systems to the SEC within deadline. Therefore, Longroot was deemed to have failed to comply with the

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

undue burden to the business.  SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on

, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are

-equipped in terms of management structure, work systems, particularly an efficient information technology (IT) systems with a penetration test and IT audit, and disclosure of key information to customers

Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry

, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators

Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the