receivership on 3 August 2017. Such material facts were subject to public disclosure within a reasonable timeframe after the issuing date of the Court's order of receivership; however, POLAR did not disclose

funds are designed in direct response to investors? behaviors such as unit link insurance and trigger fund, which is preset to dissolve upon reaching the target return within a pre-scheduled timeframe

names of foreign personnel of foreign business operators, allowing a more flexible timeframe from one business day in advance to within seven business days from the day investment information or advice

capital market auditors. Most respondents agreed with the proposal, viewing that a minimum of four auditors was appropriate. Additionally, they suggested that the SEC give audit firms a suitable timeframe

. Sales reports – issuers are required to report the sales of debt securities to the SEC within the required timeframe. Post-offering obligations – issuers are required to make complete, timely and accurate

methods, setting timeframe and communication frequencies) 3 Does the firm specify the types of significant information that require escalated control over communication within the firm? If so, please

firms according to the pre-established schedule for the total number of 13 firms. As of 31 December 2016, there were 197 auditors registered with the SEC and affiliated with 27 audit firms, as illustrated

, and some also suggested that the timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the

selling of assets. In this schedule the company sold out the investment port amount 27,000 baht related to total assets of the company was less than 15% of total assets and the company has no transaction

Company Limited 140/1 KHANJANAPISEK RD., BANGKAE, BANGKAE, BANGKOK, THAILAND. 10160 Tel: 02-455-2888 Fax: 02-455-2763 ( “TRANSLATION” ) No. TG 024 / 2561 6 February 2018 Subject Schedule for the