) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual fund reports Scheme https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English

. 3/2553 Preparation and Maintenance of Information Relating to Derivatives Trading (Synopsis)   01/02/2010 01/02/2010 2. Notification of the Office of the Securities and Exchange Commission  SorThor 2

which must be corrected, and the root cause analysis for such errors.  The study also proposes recommendations on important factors which play an important role in the accurate preparation of financial

draft guidelines of the Association that has been approved by SEC*. The guidelines contains details on :1) preparation of the service model responsible by a high-ranking executive officer; 2

On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56

. Others include preparation of financial statements, methods to contact and service customers with identification of customers’ real identities or real beneficiaries, evaluation of customers’ investment

timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the public’s recommendations into consideration

urging knowledge dissemination concerning risk and investment in risky assets for higher return in preparation for retirement. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the first SEC

the Project, business operators will gain knowledge and better understanding about capital market, relevant fund raising rules and regulations, and preparation for going public. In addition, they will

:09 Report on the progress of a subsidiary company establishment (additional share acquisition in a joint venture company: Sabaijai Money Co., Ltd.) and preparation for the sale of shares of a