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
assistance of capital market regulator regarding examination or giving information to the SEC Office as specified under Clause 17 of such Notification only in the case where the CLMV company has any of the
agendas. 1. Approved the Company to receive financial assistance from connected persons that transaction is a connected transaction according to the Notification of the Securities and Exchange Commission
interest did not join and vote for this agenda 3. Financial Assistance The Board of Directors also approved the inter-company loans between the Company’s subsidiary Cal-Comp Optical Electronics (Suzhou) Co
resulting from the assistance measures for debtors who affected from the COVID-19 crisis. Loss on impairment and disposal of assets foreclosed for the 3rd Quarter ended 30 September 2020 decreased 24.82% from
company had refund from the Office of Cane and Sugar Fund according to the assistance project to support sugar cane planter and sugar plants by THB 234 million. Distribution Cost Decrease in distribution