of directors and executives. For those who cannot attend the meeting should give proxy to others and clearly state their own decision on each agenda item in the proxy form to protect their own?s
others and clearly state their own decision on each agenda item in the proxy form to protect their own?s interest
specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
account for Sippakorn to send trading orders, facilitated respective payments for the provided account, and used such client's account for his own securities trading. Furthermore, he ordered a subordinate
nonetheless achieve the objectives laid out in the IOSCO CRA Code and the IOSCO CRA Principles. This will permit market participants to draw their own conclusions about whether the CRA has implemented the IOSCO
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited https
Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund manager