mutual fund established under the Securities and Exchange Act B.E. 2535 and to passively manage investment; (4) ETF operator is not subject to limitation or suspension of business or revocation of license
the first 3 months of 2019 because during the period, ICE had a limitation in finding new customers and the main factor was the spread of COVID – 19, some customers postponed the purchase decision
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
may lose from the derivatives position remaining until the settlement date. (Translation) 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The
futures trading of an investor for loss limitation The derivatives broker may be unable to proceed with the order of any kind of futures trading of an investor which has an objective to limit potential loss
in the SPA being fulfilled. Those conditions precedent include, without limitation, receipt of (i) the approval of general meeting of shareholders and approval of the Bank of Thailand for the Bank’s
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned