actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
management fee. In late 2016, The Company also made investment in Park Court Project which was operated by Munkong Living Co. , Ltd. Park Court was a high-end residential condominium project for lease and sale
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
, cybersecurity risk, risk on personal data leakage, and exploitation as a money laundering tool. The SEC Board has therefore considered exercising authority within the scope of relevant laws to prohibit digital
; (3) To prohibit the digital asset business operator from providing trading services for privacy coins to enable monitoring of the executed transactions in the system. The consultation paper is
for an increased level of production and the Company’s aggressive growth from 2018 onwards; 3) cost from trial runs and start-up of a new production line for some products, driving higher yield loss and
commercially operated and generated earnings for an extended period of time, showing reliability of the fund’s earnings. An infrastructure fund with the risk level of 8 A fund having the risk level of 8 has high
”, “short-term bond”, “short-term bill”, “institutional investor”, “high net worth investor”, “registration statement”, “parent company”, “subsidiary”, “executive”, “major shareholder”, and “controlling
ตามแต่ละรายการ โดยการตรวจสอบมี 2 รูปแบบ ได้แก่ (1) การวัดการปฏิบัติตามข้อกำหนด (compliance check) (2) การวัดระดับความพร้อม (maturity level) (รายละเอียดตามข้อ 4.4 การตรวจสอบการควบคุม) 5 Finding สรุป