งาน (ข) แผนการปฏิบติังานหรือคู่มือการปฏิบติังาน (compliance manual) ซ่ึง อยา่งนอ้ยตอ้งประกอบดว้ยขั้นตอนและหนา้ท่ีการปฏิบติังาน (ค) วิธีการตรวจสอบการซ้ือขายหลกัทรัพยข์องบริษทัท่ีปรึกษาการลงทุน (ง
and the person to be responsible for damage of clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the
clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the appointment of an agent to undertake custody of clients
’ efficiency. 9. Litigation In September 2018, the Company was sued by a disputant company for its non – compliance with the memorandum signed in August 2018, claiming a compensation for damage of Baht 9.2
September 2018, the Company was sued by a disputant company for its non – compliance with the memorandum signed in August 2018, claiming a compensation for damage of Baht 9.2 million. As on 13 December 2018
follow: Note: The Company has adjusted the selling expenses in the financial statements for the three-month and six-month periods in compliance with Thai Financial Reporting Standard No. 15 Re: Revenue
: Note: AR means Artlion Development Limited H1 means Habour One (Thailand) Co., Ltd. The amalgamation between SRT and GCT will be in compliance with the procedures and provisions of the Civil and
Pavorndechapong) Deputy Executive Vice President, Legal and Compliance
) January - September Note: The Company has adjusted the selling expenses in the financial statements for the three-month and nine-month periods in compliance with Thai Financial Reporting Standard No. 15 Re