continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund
Finance Department 3 Madasiree Sunthornyotin, provided additional information on the criteria for raising funds for SMEs. Simultaneously, SEC also arranged a clinic offering suggestions and advice to
JC welcomed the Industry Day event arranged by the Australian Securities and Investment Commission that is to be held on 27 April in Sydney. Over 90 stakeholders are expected from around the Region
interest to acquire the business, and it was Rapi himself who had signed on the associated memorandum of understanding and arranged for the new investors to conduct a due diligence on the business and assets
sales were in line with plan. 1Q19 sales was Baht 238.99 million, decreased by 8.73% YoY. Since domestic consumption in 1Q19 was declining, the Company reacted by arranged more promotion especially the
. In addition, they arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive other persons regarding purchases of IEC subsidiaries
transferred the clients’ money to the savings accounts opened under the names of other persons instead. She arranged for investment unit purchase transactions of other clients, with the value equivalent to
) information according to sub clause (a) and (b) arranged in form which the client would be able to understand correctly and without being mistaken; (4) the advertisement shall have appropriate caution regarding
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...