professional standards and/or regulation, such as accounting firms, accredited verifiers, and regulated credit rating agencies, while others are not. At a high level, all firms providing external reviews should

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

industry and regulatory groups to support resilient capital markets. We also engage collaboratively in industry-wide engagements for example as founder members of Climate Action 100+1 MSTR. 544434 Examples

through effective capital management and creation of a culture of risk awareness organization-wide, to enable us to cope with possible economic fluctuations in a timely manner. B Being aligned with our

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

wide range of economic activities, weakening purchasing powers, lowering household income, increasing number of laid off labors, high debt burden, and lowest consumers’ confidence in more than 21 years

business targets as we gained wide acceptance and recognition at home and abroad, as reflected in the numerous awards we received in 2017. Under our redefined strategies for the next three years, KBank

wide acceptance and recognition at home and abroad. C Contents Page Executive Summary A 1. Overview of Operating Environment 1 1.1 Global and Thai Economy in the Second Quarter of 2018 1 1.2 Banking

. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote

and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider