, businesses and payment have shifted into the digital realm. Meanwhile, cyber threats have become more sophisticated, as seen from their application of state- of-the-art technologies. Against this backdrop
management and portfolio quality improvement, our RM teams are always on hand to offer our customers advice on sophisticated investment products and hold financial activities that provide increased
and interest than higher-rated securities. Some securities held may be difficult to sell, particularly during times of market turmoil. If the Fund is forced to sell an illiquid asset to meet redemption
appropriate as under the present circumstance, it is difficult to proceed with other funding methods and the chance of success is low. In addition, such offering price is the same price as the offering price in
disclosure of information that was incomplete, insufficient for making an investment decision, or that misled investors in a manner of concealing or disguise or making up non-existing facts in material
to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (6) the applicant does not default on a
) there are no grounds to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (8) the foreign entity
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
-audit fee, demonstrate information of other non-audit fee paid in previous accounting year as well as other non-audit fee that will be paid in the future which arise from incomplete service given in the
Securities and Exchange Commission 10,13-16 The GPF Witthayu Building 93/1 Wireless Road, Lumpini, Pathumwan, Bangkok 10330. Tel: 0-2695-9999, 0-2263-6499 Fax: 0-2256-7711 www.sec.or.th. Securities and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of...