complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
time in order to have cross-regional discussion that serves the objective of this forum. The uncertainties caused by the pandemic have emphasized the importance of the forum as a venue for gathering
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
the Derivatives Act B.E. 2546 (2003) and Section 8(1) and Section 76 of the Trust for Transactions in Capital Market Act B.E. 2550 (2007) which contain certain provision in relation to the restriction
mall and become a convenient gathering for customers. Prudent Financial Management and Funding Strategy In 2017, CPN’s average cost of fund stood at 2.81%, lower than the previous year at 3.23
issues that required judgment and interpretation of certain financial reporting standards. These are challenges on which the SEC and auditors must work closely together to further improve and develop audit
, requiring the company to consider the need for organizing mass gathering activities. Under the circumstances, the company has less income from training activities or seminars. Moreover, the six-month of
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15