company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
will yield good returns and will effectively reinforce the SEC's financial stability Announcement of signatory Investment Governance Code (I Code)(Thai Version Only) Our Roles How We Regulate SEC
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
2017 > CG Code > Principle 7 Ensure Disclosure and Financial Integrity CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related persons Sustainable
(FASB). Such financial statements must be audited and given opinions by authorized auditors in the countries where the investment units are offered. This information must be clearly specified in the
financial reports must be audited and given opinions by the auditors who has been approved by the SEC. 4.2 As for a country fund which is a mutual fund that offers all investment units for sale to investors
Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company