ONE ASSET MANAGEMENT LIMITED|Retirement Mutual Fund : RMF | Offering Date : 03/12/2001 - 10/12/2001
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
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
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
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
5.99 million baht).This was due to unrealized gain on short term of investment and interest income. Cost of Sales In 2019, the company had the cost of sales valued 1,053.37 million baht or 69.29% of sale
than 3 consecutive years; and SEC allows the auditors in a small audit firm to perform duties for more than 7 cumulative years but no more than 9 cumulative years. As the grace period is applicable to
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor