According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF

.,Ltd to the address changed by her request. In case of the second client, Thanjira had signed the client?s name for submission of investment unit switching and buying orders and changed the address for

statements due to limitation on scope of audit imposed by the STHAI management in various matters including quantities and unit prices of inventories, allowance for decline in value of inventories, and

Budsaratragoon gave opening remarks and welcomed participating professionals from various sectors, including Fiscal Policy Office, a policy unit of the Ministry of Finance, the Bank for Agriculture and

/1146pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets

asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. SEC

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. SEC