monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
-brand portfolio strategy to maintain Q1’19 market share in energy drinks at 53.7%, which aligned with our mid-term guidance. In functional drinks market, C-Vitt maintained its leadership position, with
-PP. 2) Protection against investment scams In this zone, information and practical guidance are provided on observations and warning signs of investment solicitation scams, including scam
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their