ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
Statistics...........................................................................................37 Contents Executive Summary Over the past year, the SEC continued to build on a robust foundation for
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
laws. The measures should include: 46 4.5.1 A robust policy and guidelines for the handling of non-public information relating to Investee Companies or their securities in accordance with applicable laws
Market and create confidence for investors, the SEC closely monitors and inspects individuals and entities under its supervision. To ensure investors have adequate protection and receive accurate and
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
successful performance of any trigger fund may proceed only after accurate and complete information on all of the trigger funds under management is clearly disclosed for investors? comparison and decision
statement / annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC