determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment
involved in preparing financial reports understand their roles and responsibilities relevant to the quality of the financial reports. Due to the in-depth understanding of both the nature of their business
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Securities Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
with relevant organizations in a cooperative effort to formulate effective solutions. As an initiative to tackle this problem, the SEC has planned a study for possibly additional sources of high quality
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal Sanction
provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations
: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal
website also provides information on corporate social responsibility and anti-corruption gathered from relevant authorities. Assessments in the said areas both at the country and corporate levels have been
related parties amounted to Baht 54.09 million and impaired on investment Baht 5.45 million. Conclusion : The Group reported a profit for the six-month period ended June 30, 2018 showed a loss of Baht 83.66