Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
specific law; (9) the foreign entity is not in breach of any condition in complying with the terms and conditions; (10) the foreign entity shall appoint a a contact person in Thailand for the purpose of
) Date (Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
into a Consent Conditions Undertaking (CCU) with the three investors, which resulted in an obligation for PACE to repurchase a certain amount of the preferred stocks. Because the CCU may cause a
the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures