Microsoft Word - SET-LT001_IM_WOG ITR_EN WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor, Ratchadapisek Rd. Huaykwang, Bangkok 10310 F
our staff and customers remains our top priority. The Company constantly evaluate the situation and take proactive action to manage up-to-date under condition that are changing rapidly by aware of the
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
instruments; (2) “securities company” means a company licensed to undertake securities business in the category of securities dealing; (3) “counterparty” means a person who trades securities with a securities
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets, whether for the purpose of keeping, purchasing, selling, borrowing or
the previous year due to an unfavorable condition of the Company’s traditional trade channel as the Company appointed a large-sized distributor for the channel since the first quarter of 2018 but later