asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
any liabilities, its financial statements were not in compliance with the generally accepted accounting standards. The SEC thus instructed JAS to rectify those financial statements by recognizing the
: compliance@ais.co.th, rungkarn@ais.co.th mailto:compliance@ais.co.th
consider and approve the following matters: (1) Exemption from an event of default for the bond issuer’s non-compliance with the requirement to maintain the Interest-Bearing Debt to Equity Ratio of
-related operations, such as bondholder representatives and bond registrars. The revised Terms and Conditions is in compliance with the SEC’s amended regulations, enhances the efficiency of bondholder