(Notification of Securities and Exchange Commission) (Synopsis) 23/01/2007 16/03/2007 10. Report/Form (Notification of Securities and Exchange Commission) Form EF-3 Appointment of Authorized Officer 11
complaint, the SEC found that {B} had been authorized to make securities trading decisions on behalf of the client from the account opening. {B} admitted that she made trading decisions on behalf of the
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
Investor Contact” means any investor contact who is also authorized to analyze securities investments; “Category B Investor Contact” means any investor contact who is not authorized to analyze securities
audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise details of the policies and procedures on the audit quality control, in the manner according to the
and (b) have a clear objective to share profits and costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared
marketing promotion activities of mobile operators after the consolidation within the industry became clear. In addition, the Company had gross profit from digital content of THB 18.91 million, increased by
for the three- month period and nine- month period ended 30 September 2017, which have been reviewed by the company’ s authorized auditor. The company would like to clarify the operating results of the
fiscal year 2020. The above auditors are authorized to review and give opinion on the financial statement of the Company and its subsidiaries as well as approved the audit fee of the Company for the fiscal