product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new

different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the

The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that

The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that

; - a compensation of the benefit received from committing the offense in an amount of 796,360.00 Baht     - a civil monetary penalty of 915,814.00 Baht SEC Act

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht

agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth

; - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth amendment) Section 241 in conjunction with Section 86 of the Penal Code Civil Action Dated 12/06/2017

>20/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.30 Baht SEC Act

indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance