investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system shall not be effected, which
investigations into the case. With regard to investor rights protection, the SEC has rendered full support in coordinating and arranging discussions with the SET, the Association of Investment Management
) received assistance from the persons under (4) ? (7) in jointly arranging for a subsidiary company of TRITN, Splash Media Public Company Limited* (SPM), to enter a five-year rental contract for three
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
consideration basis which includes loan and any guarantee by the Company to WCIH, will be equivalent to 23.42 percent. Without any disposal transactions occurred during the past six months prior to these
revolving line of credit. (2) Letter of Guarantee in amount of THB 210,000,000 1. Service fee for using credit line of Bank Guarantee at 7 percent of Bank Guarantee per year that the financial receiver