procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a mutual understanding that the information is shared confidentially. The Principles are high-level
eliminate the Conflict of interest of Ms. Kanjana Pongpatanadecha, spouse of major shareholder and managing director of the Company, currently hold the shares in subsidiary company exceed 10.0 percent, which
regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
eliminate such risk, only help to decrease the impact from the fluctuation of the price of CPO to the Company’s performance. Subsidiaries realized net loss of 28.39 million Baht in 2019 and net loss of 35.26
determine the CPO pricing policy, economic change, and climate change. However, the determined policy and controlling the rate of loss cannot eliminate all the risks, they were just reduced the risks and
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
platform would eliminate the repetitiveness of identity proofing and authentication process if investors had already been identified and authenticated with the member of the platform, they could open new
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By