existence, and that the material facts which should be disclosed have not been concealed. The language used for the initial submission of information or documentation to the SEC Office under this Notification
the existence of the debt that Tangerine Properties Co., Ltd., a POLAR subsidiary, owes to Simba Co., Ltd. Earlier, the SEC ordered POLAR to conduct a special audit on such debt and requested the
to approve that EARTH underwent a business rehabilitation process. The SEC, then, had a question regarding the existence and status of the increased debt of THB 26,000 million.The investigation
that is 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
the manner that is 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
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
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
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
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