or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its
account, bond dealing, private repos and other investments. The Company’s DW business was significantly impacted by the extreme volatility of the Thai stock market during March 2020. The Company is a market
percent compared to the third quarter of the previous year, mainly due to an increase in the Company’s underwriting fees and an increase in mutual fund management fees from funds managed by ONE Asset
applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as well as the
sluggish effecting from Trade War which impacted the global economic sentiment. However, the Thai economy is attributed mainly by number of factors, namely 1.) Growth in Tourism sector particularly in 2H19 2
Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
market itself by promoting it to be an attractive fundraising hub for both domestic and regional enterprises. To implement such framework, it is imperative that the financial reporting be reliable and
dissemination of the results of the root cause analysis on audit adjustments proposed by auditors to listed companies in order to communicate and motivate listed companies’ executives and audit committees to