in the amount not less than 1 million baht and not less than 7% of the general liabilities and collateral: (a) not keeping the client’s assets in its possession; (b) not having investment in or holding

in the amount not less than 1 million baht and not less than 7% of the general liabilities and collateral: (a) not keeping the client’s assets in its possession; (b) not having investment in or holding

possession of prohibited characteristics pursuant to the law governing derivatives and notifications issued by virtue of the said law, the granting of approval for the appointment of director or executive of a

, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

identity in order to ensure that the client is the person appears on the documents referred to during the account opening process. In this regard, the procedure should be in accordance with the guidelines of

ครอบคลุมถึงตามที่กําหนดใน ASEAN Equity Disclosure Standards โดยมีสรุปการเปรียบเทียบขอมลู ดังนี้ ASEAN Equity Disclosure Standards (รายละเอียดตามเอกสารแนบ) แบบ filing ปจจุบัน (แบบ 69-1) I. IDENTITY OF

E_1 Legal_FA_2015_12_29-c A WWCCoorrppLL44..11hhiigg A Executive Summary 1 Management Discussion and Analysis For the Year Ended December 31, 2017 In 2017, Thai economic growth gained traction, buoyed by strong recoveries in tourism and exports. This growth momentum is expected to carry on into 2018, especially amid a brighter outlook in public and private investment. Nonetheless, the business sector remained challenged by new modes of competition in a broader marketplace amid the advancing digi...

underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering

units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short