Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
Approval and Granting to Establish Branch Offices of Intermediaries . Clause 39 In providing services of accepting trading orders of capital market products outside the intermediary’s offices, an
: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered [such
prohibited or restricted investments. Other funds may have their ESG efforts developed by a fund board of directors working to establish ESG priorities that address portfolio risk issues or respond to concerns
of systematic management of supply chain, the Company is currently under the studying process to establish a new factory to produce other packaging items mainly for captive consumption and may consider
Power Plant Project in the Republic of Indonesia On April 7, 2017, RH International (Singapore) Corporation Pte. Ltd. (“RHIS”), an indirect subsidiary, entered into a Joint Venture Agreement to establish
(Singapore) Corporation Pte. Limited. (“RHIS”), an indirect subsidiary, entered into a Joint Venture Agreement to establish PT Medco Ratch Power Riau, an indirect joint venture, in order to invest in Riau
securities business; (3) a payment for subscription of securities which a securities company receives from underwriting. Clause 5. A securities company must establish a unit responsible for the custody of
securities business; (3)1 a payment for subscription of securities which a securities company receives from underwriting. Clause 5. A securities company must establish a unit responsible for the custody of
overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The