; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of
a prompt and efficient manner. In the case of Stark, the SEC has continued its law enforcement according to its authority. In addition, the SEC cooperated and followed up with DSI and other relevant
gather related documents and information. If any directors or executives of IFEC, past and present, are found to have been involved in any wrongdoings, the SEC will take prompt and swift legal actions
select appropriate products for an investor and to monitor and rebalance the portfolio on a constant basis. The rules having been issued are to facilitate the prompt provision of the wealth advice
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
&KC0C0C0SEC Classification : ใช้ภายใน (Internal)
477,377.11 19,548 502 448,109.40 18,069 493 442,762.30 19,513 499 446,000.55 &1#&"Tahoma"&12&KC0C0C0SEC Classification : ใช้ภายใน (Internal)