distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the

that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

account. In essence, this legislation stipulates that a receiving bank must carefully check the account number and account name of the recipient to ensure their accuracy. If any suspicion of misconduct

supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first

suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities

of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2

of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2

หนี้ที่ผู้ออกอยู่ระหว่างการปรับปรุงโครงสร้างหนี้ (“restructured bond”) เป็นต้น 1.2 รองรับ distressed bond ที่แปรสภาพมาจากตราสารหนี้ที่มีความเสี่ยงสูง (high yield bond) ของกองทุน

the year 2017 of Baht 41.34 million. - In order to effectively sales management, the Company has restructured its business unit, effective from July 1, 2017, to allow each unit to sell its product