and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
), as well as the AMLO’s issuance of the Counter-Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
(can choose more than one): ( 3.1 Misstatements that are both material and pervasive, resulting from: ( 3.1.1 selection of an inappropriate accounting policy (paragraph ........); ( 3.1.2 incorrect use
apply) ( 3.1 The auditor, having obtained sufficient appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are both material and pervasive to the financial statements
broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor
in accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or
exceeding one million baht or both and a further fine not exceeding ten thousand baht for every day during which the contravention continues. SECTION 78 Any person, without obtaining approval for operating
derivatives business operator’s receipt of such notice, it shall be deemed that both parties have agreed to enter into an arbitration agreement to settle the dispute so incurred. The disputes to be referred to
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in