acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for asset inventory demonstrating
aspects of existing rules may need to be reviewed. Therefore, the SEC would like to propose a regulatory approach on ICO and seek public comments to ensure appropriate regulatory responses. 4 II. Regulatory
earnest, while also seeking new partners in order to ensure increased income and customer base, especially by providing financial transactions via online channels and multiple platforms. 3 1.3 Significant
these inspections regularly communicated to ensure timely rectifications of any deficiencies found. Through such efforts, the SEC is now widely recognized as a trustworthy and effective independent audit
. Above all, the SEC collaborates with our local and international partners in supporting the value creation of listed companies to ensure growth and sustainability of the Thai capital market.” Mr. Kulvech
revolving line of credit. (2) Letter of Guarantee in amount of THB 210,000,000 1. Service fee for using credit line of Bank Guarantee at 7 percent of Bank Guarantee per year that the financial receiver
guarantee of income is provided, specify information such as terms and conditions of the guarantee, description and credit rating of the guarantor; - Specify an estimation of income and expenses of the REIT
5.1.1 The board should prioritise and promote a corporate culture that embraces innovation and ensure management’s inclusion of innovation in corporate strategy, operational development planning, and
relation to their internal governance and with regard to their external role as investors in companies and other assets. Both help to ensure that institutions deliver fully and effectively their obligations
of advertisement of guaranteed fund or private fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund