acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows: (1) Posting on the
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry
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Derivative Warrants | NIKKEI41C2409A | DERIVATIVE CALL WARRANTS ON NIKKEI 225 STOCK AVERAGE INDEX ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN SEPTEMBER 2024 # A | NIKKEI 225
Derivative Warrants | NIKKEI41P2412T | DERIVATIVE PUT WARRANTS ON NIKKEI 225 STOCK AVERAGE INDEX ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN DECEMBER 2024 # T | NIKKEI 225 STOCK
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Derivative Warrants | NIKKEI41P2409B | DERIVATIVE PUT WARRANTS ON NIKKEI 225 STOCK AVERAGE INDEX ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN SEPTEMBER 2024 # B | NIKKEI 225 STOCK