Verify Code Reload * re-Verify Code    

กำหนดอื่น ๆ     แบบสำรวจความคิดเห็น     Verify Code Reload * re-Verify Code    

และให้บริการเกี่ยวกับการจัดการกองทุนรวมและการจัดการกองทุนส่วนบุคคล     แบบสำรวจความคิดเห็น     Verify Code Reload * re-Verify Code    

)     แบบสำรวจความคิดเห็น     Verify Code Reload * re-Verify Code    

of the Penal Code. This case is under consideration of the public prosecutor. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code

of Section 343 of the Penal Code. This case is under consideration of the public prosecutor. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements

| - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records