assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
in the name of mutual fund as follows: 1. Provide clear guidelines for exercising of voting rights for the best interests of the mutual fund; 2. Exercise voting rights at shareholders' meetings in
offerings, communicating expectations for securities business intermediaries to provide standard services for clients? best interest (putting investors first). This has led to a better process of product
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process work? How often are job evaluations made? 3 Does the firm have job evaluation forms or criteria specific (e.g., job portfolio) for each staff level? Please provide us with evaluation forms of all
during the last 90 days prior to this offering: No Yes – provide details on the number of shares / reserved shares for conversion of convertible securities and conversion price. Par Value
“Company”) would like to provide the clarification on the business operation for the 2nd Quarter of the year 2017 ending 30 June 2017. Total Revenue The Company has the total revenue of Baht 128.10 million
etc. AFS has more expertise in such technologies and systems in Japan and thus AFS could provide the full support on new technologies to ASB Cambodia in the long run. Note: Exchange rate as of January
. In case of providing off-exchange derivatives brokerage service overseas, derivatives broker shall provide service related to derivatives as specified by the SEC Office only. Clause 3.2 Derivatives