small units such as individual houses or condominium units.4. Asset appraisal must be made by an asset appraiser determined by SEC.In addition, SEC has improved the flexibility for a smart contract
alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In
next submission depends on the IT Risk Assessment (ITRA) result of individual audit firms.The consultation paper is available at www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=965. Stakeholders and
published in the Government Gazette and have become effective from 1 February 2024. ________________________Remarks: * Including any individual holding the bills issued by a company at the full amount not
in the similar manner as an ordinary person undertaking the like business under the similar circumstance. Any matter proven by the director or executive that, at the time of considering such matter
. Issuer’s directors are on an individual basis; and b. Issuer’s senior managements are on lump sum basis. C. Share Ownership Provide current information about the amount of shares held by the issuer’s
editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act upon such
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
customer; (7) information on the purchase, sale or holding shares or share warrants of the investment advisory company, person with power of management or advisor in the case where the purchase, sale or
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how