assessment, suitability test and checklists for explanation of the structured notes features and information. {A} admitted that he did not contact the client and not give any investment advice.Signing the
, exercise their rights to protect their own benefits and seek clarification or explanation from the company directors and executives so as to have sufficient information for their decision-making.The above
verification showed the match with Surasak?s signature in the opening account request form and letter of explanation. Furthermore, it was found that the addresses used by Surasak and Thanjira are the same and he
the early termination of agreement on gold delivery as expenses and liability in the financial statements for the year 2010.? Regarding THL?s explanation that the agreements are not legally enforceable
. 10) dated 29 November 2005. Clause 2. In this notification hereto: (1) “report of net liquid capital calculation” means report of net liquid capital calculation in the form and explanation for
November 2005. Clause 2. In this notification hereto: (1) “report of net liquid capital calculation” means report of net liquid capital calculation in the form and explanation for calculation as specified in
explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
applicant to provide explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such