been in place, so that the SEC imposition of supervision and enforcement measures will be considered proportionately and appropriately, in favor of such business operators. The risk management manual

beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The

in favor of the SEC guidelines – and also covers clearer revision of mutual fund schemes.       For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages/PB_Detail.aspx

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

Name of auditor affiliated with audit firm  Financial statements audit  Financial statements / information review  1. Unmodified opinion  2. Qualified opinion due to (can choose more than one): ฆ 2.1

enables employees to choose their own investment policies. To ensure the objective of provident fund for retirement savings, the SEC is revising employee?s choice regulations to provide the funds and its

Company had to make this sale for the reason that QI’s founders and major shareholders, who are not related parties to the Company, were all in favor of disposing QI to Continental. This transaction is at

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...

careers and for those who are saving up for long term financial security, as they can choose to invest in different investment policies to suit their risk appetite.________________________

products and services so that investors would have more investment choices to choose from. However, clear and sufficient disclosure of information is imperative to facilitate investors? decision making. The