any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
and professionals Carrying out businesses with greater flexibilities; getting supports for strengthening competitiveness; being assured of stability of the systems monitored and maintained to
. Distribution Cost and Proceed to fund The Company incurred distribution cost and proceed to fund at THB 497 million compare to THB 374 million previous year. An increase mainly came from proceed to fund, since
acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows: (1) Posting on the
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its