2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required to be performed

statement (Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties

56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

business operations and mitigate undesirable impacts especially    the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational

valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI; resulted in non-compliance with the Thai financial reporting standards.The SEC

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm