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
standards, and designed to attain four regulatory objectives, which are fairness, compliance with laws and ethics, responsibility, and transparency. At the ASIFMA Gala Dinner held before the ASIFMA Annual