lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system
operating system that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
on offences relating to unfair derivatives trading, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding
resolution on December 30, 2014, along with the transfer of work and personnel from the Office of the Agricultural Futures Trading Commission (AFTC). Vorapol Socatiyanurak, SEC Secretary-General said, ?The SEC
-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions