Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
or should have been known, but not exceeding two years from the effective date of registration statement.” 1 I. DESCRIPTION OF THE DEBT SECURITIES A. Economic Terms of the Debt Securities 1. Provide
Management1 Provide the names, nationality, addresses and functions of the issuer's directors and senior management or the person within the issuer who is responsible for the information contained in the
audit committee’s responsibilities include monitoring and oversight of the listed company to which they hold a position as a committee to ensure that the company prepares accurate financial reports
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
________________________________________________________________________ 8) Is the ARFP Passport Fund offered to the general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date