this connection, related mutual fund investment documents were counterfeited to make believe that the clients’ orders had been executed. Teerasak also invited his clients to open bank savings accounts
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
was mainly contributed by the gas tank rental fees. 2) For making false entries in the accounting documents, financial statements and minutes of the board?s meeting to deceive others that the company
://market.sec.or.th/Documents/ca/documents/CompAcc_AccAdmin_EF_SECAccount.pdf กระบวนการนําสงขอมูลอิเลกทรอนิกสของ ก.ล.ต 6/42 SEC Classification : ใชภ้ายใน (Internal) 3. แจงแตงตั้งผูนําสง 3.1 กรณี Issuer หรือ
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
Derivatives Exchange, as detailed in Chapter 2; (2) Business Continuity Management and Security of Information Technology Systems, as detailed in Chapter 3; (3) Retention of Information and Documents, as
result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In case the
giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other documents
where the giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other