documents enclosed are true, accurate and complete. The text of each document is the same as that previously submitted to the Home Regulator, and is an accurate translation of that text (where applicable). In
/ annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC suggests that
clients, and informed such information to new clients during the account opening process. Hence, such information must be accurate, complete, up-to-date, and clearly separated from other information. In
improving its website for accurate, complete and user-friendly information. 5.2 Human resources: Emphasis is made on the performance-based system where staff are encouraged to pursue self-improvement both in
debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA
, fund and client or investor. The situation should be prioritised in accordance with the degree of the impact caused by the problem. 1.2 Prescribing resolving procedures for each situation 1.3 Prescribing
investor. The situation should be prioritised in accordance with the degree of the impact caused by the problem. 1.2 Prescribing resolving procedures for each situation Page 13 of 32 (Unofficial Translation
preparation and submission of financial statements The financial statements and consolidated financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section
from Thammasat University, Thailand, and a doctorate degree in the same field from University of Toulouse, France. Besides taking office as SEC Deputy Secretary-General, he is also a Councillor of State
regarding the value and uses of full, accurate and timely disclosure of material information. Asian economies and their stakeholders should strive for a corporate culture in which managers and boards