to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be
clients. In addition, a certain share transfer from a client account was found to be suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the
may grow within a range of 2.9-3.3 percent in 2019, down from the growth of 4.1 percent in 2018. Development of Thai economic sectors during the rest of this year merits close watch after the Monetary
investment decelerated after showing high growth in the fourth quarter of 2018. Even though private consumption continued to expand, growth was concentrated in only certain product categories. Likewise
expanded investment scope. The SEC also held a session on 14 August 2024 to clarify these amendments for AMCs and relevant business operators. Under the new criteria, Thailand ESG Fund can invest in a
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
on scope of audit imposed by the companies’ managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014 financial statements by May 27, 2015. AIE was also
auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for