responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. Sor Thor/Khor. 40/2547 Re: Form of
signature, as the case may be, it shall be deemed that: ( 1 ) the information has been submitted by us according to our expressly demonstrated intention, and we assume the responsibility towards the
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
command is subject to the board's discretion. In any case, the organizational structure should support efficient duty performance of the company secretary. Generally, the position should be under the
command is subject to the board's discretion. In any case, the organizational structure should support efficient duty performance of the company secretary. Generally, the position should be under the
persons regardless of whether by my order, responsibility or involvement in preparation, disclosure or dissemination of such information or statement or by any other act or omission to act unless I can
. − ✓ − 5 Manager of securities company or person with the highest responsibility in the work unit related to capital market.2 − − − 6 Fund manager. − − − Remarks: 1 The eligible courses must meet any of the
leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility
responsibility could influence the client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case
passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility could influence the