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Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
information or advice by insurance broker ● Unable to claim insurance compensation Office of the Insurance Commission (OIC) Telephone: 1186 Website: www.oic.or.th ● Poor consumer product quality Office of
(Private Fund) Life/ Non-life Insurance Companies Providend Fund Government Agencies/ Association/ Other Institutes : 1. Government Pension Fund 18 May 2017 Signatory Declaration (Thai version only
(Private Fund) Life/ Non-life Insurance Companies Providend Fund Government Agencies/ Association/ Other Institutes : 1. Government Pension Fund 18 May 2017 Signatory Declaration (Thai version only
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
business and credit foncier business; (3) securities company under the law on securities and exchange ; (4) life insurance company under the law on life insurance; (5) financial institution set up under