) Statutory Disqualifications for Management (section 103) Accounting and Records (section 105) Audited Financial Statement & Auditor Approval (section 106) Public Disclosure (section 108) Reporting and
2018 performance which showed a net loss of 2,040.57 million baht due to the accounting of impairment reserve for investment records and other records in relation to a company in which TRC had invested
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a combination of the following activities: (1) Attending training
, the Office has prescribed guidelines for renewal of approval for investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities: One or a
across various business sectors and Thailand’s national sustainability agenda while also encouraging greater public participation in the capital market through long-term investments. “The SEC has expedited
the participation of businesses with paid-up registered capital and shareholders? equities not less than 20 million baht, or having either profit or retain earnings in the latest fiscal financial
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account