, being well aware that prevention of those scams needs collective efforts of all relevant parties, has called for collaboration of business operators, i.e., securities companies, investment management
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
) back up copies of critical business information, computer operating systems, application software as well as take and test program source code at least once a year. Additional Guidelines 1. The
” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in-depth information on each client in
life as well as avoid falling victim to financial frauds and scams, would contribute to the overall financial well-being of the Thai people and the solution to the country’s household debt problems in
consideration for EBT of UE as well as issuing and offering up to 31,941mn U-W3 warrants to UE at no cost, (ii) a rights offering to existing shareholders, of which 283,791mn preferred shares were subscribed
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
to the growth in sales of dessert cafés due to same-store sales growth, corresponding to the increase in the number of dine-in customers and higher sales per bill, as well as the increase in After You
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position
[the transaction] relating to Islamic finance and banking; (c) being a lecturer in either one of the areas under sub clause (1) of a well-known and acceptable institution; (3) having proficiency in