TRANSLATED VERSION As of March 31, 2015 12 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
TRANSLATED VERSION As of March 31, 2015 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
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
example, trader codes/details of the business entities whose financial statements for the latest period have been signed by an auditor in giving opinion or whose working paper has been reviewed by the SEC
operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example, trader codes. Work Areas Personal Data
allowed to outsource only to subsidiaries, audit firms, or financial institutions. For instance, outsourcing risk management and compliance will be allowed only to subsidiaries; while the fund investment
hundred thousand baht only). Total amount 206,695,800.00 (Two hundred six million six hundred ninety five thousand and eight hundred baht only) And Approved to authorize Ms. Su, Ming Fen, the Chairman to be
(Seven million four hundred thousand baht only). Total amount 206,695,800.00 (Two hundred six million six hundred ninety five thousand and eight hundred baht only) ** The company are in the process of
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of