regulations The SEC will push forward regulatory amendments to increase flexibility, reduce operational costs of private sector and facilitate their adjustments to strengthen competitiveness. In supervising
for suspension of agent and broker license or other corrective action (in addition to license revocation). KBank has studied these regulations and established our operational policies in accordance with
letter of credit issued by a foreign financial institution as collateral. KBank has put in place operational procedures to accommodate these new regulations along with preparation for other relaxations by
Outsourcing Operational Function relating to Business Operation to Third Party (Synopsis) 17/05/2013 16/06/2013 2. Notification of the Office of the Securities and Exchange Commission 7/2546 23/07/2003
Outsourcing Operational Function relating to Business Operation to Third Party (Synopsis) 17/05/2013 16/06/2013 2. Notification of the Office of the Securities and Exchange Commission 7/2546 23/07/2003
Outsourcing Operational Function relating to Business Operation to Third Party (Synopsis) 17/05/2013 16/06/2013 2. Notification of the Office of the Securities and Exchange Commission 7/2546 23/07/2003
; 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify such passively-managed investment strategy ________________________________________________________________________
crude oil either wholly or partially; or Commodity index; 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify such passively-managed investment strategy
Q1/2012 operational result with 67.14 million baht net profit. Later, during August 8 ? September 13, 2012, he purchased CMO shares through another person?s trading account based on the information
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor