concerning the capital market products set out in item 3.2.1(1). 1 The product contains specific features that are complex and are likely to be difficult for investors to understand and to assess the product’s
a QoQ basis. Operating rate for the segment was at 93%. On a YoY basis, core EBITDA increased by 20% but was lower by 14% on a QoQ mainly due to difficult market conditions temporarily influenced by
signs MOU with Central Institute of Forensic Science to increase efficiency in testing evidence of offenses in the capital market. capital market are complicated and finding the evidence is difficult
society more generally. It’s difficult to precisely quantify the value created by shareholder engagement. But it is easy to see the problems created in its absence—evidence of value destroyed or unattained
appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been
required independence assessment and documentation for conducting business transactions with their audit clients. Non-audit services The SEC noted that the audit firms are quite committed in maintaining the
partnership between the SEC and the SET at the policy making level, after which the meetings for management and operating staff levels will be followed. The SEC and the SET are committed to working together
offences committed by Bordin and Noparat were liable to violation of Section 243(1) in conjunction with Section 244 and Section 243(2) of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and Section 83
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
Criminal Fining Committee (“CFC”) on who committed the following offenses in accordance with: Section 317 of SEA Section 155 of DA Section 94 of TCMA Section 42 of PVDA Section 43 of SPVA