Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
operating in various jurisdictions. However, to take into account the different market, legal, and regulatory circumstances in which CRAs operate, and the varying size and business models of CRAs, the manner
investor protection, the SEC may prescribe that the license holder who undertakes business in a specified manner be exempted from undertaking or undertake in a different manner from the provisions under
transparency of securities markets, and reduce systemic risk. The Principles apply to all types of CRAs operating in various jurisdictions. However, to take into account the different market, legal, and
asset such as customer’s information or information of investment units incorrect because of computer system assessment or modification by the unauthorised person”etc. (Translation) -4- Segregation of
complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559. In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
modification of some on-going projects as required by customers. 3. The Group’s selling and administrative expenses for the 2nd quarter of 2017 and 2016 were Baht 28.07 million and Baht 25.72 million
first analysis of Thai KAMs to investigate investors’ reactions to the different numbers, types, and tones of KAMs. To investigate whether the investors are sentimental to tones of Thai words in KAMs, a
for milk and yogurt segment and also the production cost of painting segment was higher owing to production efficiency, quality cost during the early stage of new model mass production and modification
legislation under which the issuer operates, its country of incorporation and the address and telephone number of its registered office (or principal place of business if different from its registered office