. Notification of the Securities and Exchange Commission No. KorNor. 1/2554 Re: Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Improve Value-Based Productivity Strengthen Harmonized Sales and Service Experience The K-Strategy K-Strategy is reimagined to drive growth and empower customer 6 • K-Strategy • Sustainable Development
assessment, however, raised a point of Thai judicial procedure whereby the cases that have reached court conclusion were significantly outnumbered by the SEC?s complaints. (3) Political and Legal Environment
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113