UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there

/intermediary questions to confirm understanding or clarify inconsistencies about investment advice or recommendations. • Seek independent financial advice when necessary. • Compare the pros and cons of buying

system change form for two out of 25 changes did not have documented management authorization. Alternative procedures were performed to validate the changes were authorized (corroborative inquiries and

, social, sustainability or sustainability-linked bond or programme, issuers appoint external review provider(s) to confirm the alignment of their bond or bond programme with all the core components of the

offering of complex and risky financial tools and services now requires investors to complete an assessment test to confirm understanding of the products or services, as well as ensuring analytical reports

attached hereto are correct, complete, true, and contain the substance [of the offering] in all respects. In this regard, to confirm that all documents are verified by the company, I have assigned

/green-social-and-sustainability-bonds/resource-centre/. These guidelines have been published to confirm the relevance of the Principles in this context and facilitate the application of their guidance on

Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed