sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
uncompleted repayment does not cause interruption of or problems to the business and not significantly affect to the business operation. Even though the Company cannot completely eliminate the default risk. B
completely, the group of company’s performance will be improved respectively. Please be inform accordingly, Yours sincerely, (Mr. KittiPhuathavornskul , Ms.Netirad Sang- ngam)
and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and
capable of operating continuously, correctly and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall
_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and
5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and
clients, all of which were completely compensated. Teerasak’s misconduct of misappropriating clients’ assets and acting in the manner that implies dishonesty, is deemed failure to perform duties or