to be more reliable. In addition, the SEC will encourage each stakeholder to get more actively involved with the development of f inancial reporting quality. For example, the audit committees should
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
acts that may create conflict of interest to investor, in the case where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an
protect any acts that may create conflict of interest to investor, in the case where management company invest to acquire any assets for its own account (proprietary trading), management company shall
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
close the accounts and prepare the trial balance for the auditors, and lacks of communication with other departments, the accounting department cannot get all supporting documents on the closing day. When
securities company to obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where