company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded

และความเชื่อมั่นที่สมเหตุสมผล (worst-case scenario) จากการทำธุรกรรมดังกล่าว (1)  สัญญาซื้อขายล่วงหน้า รวมถึงตราสารที่มีสัญญาซื้อขายล่วงหน้าแฝง ทั้งนี้เฉพาะส่วนที่มีลักษณะเป็นสัญญาซื้อ

;              (2.8) อื่น ๆ 15.45 – 16.30          Case study ประเด็นที่ได้จากการตรวจสอบ          

“Risk Factors” and separate different types of risk factors into different subsections. 3. In case of offering for sales of unusually risky debt securities, highlight the riskiness of securities on the

in proportion to the value of any short sale transaction prior to making such short sale transaction, as the case may be; “client’s excessive assets” means assets of any client which exceed the amount

Sellers’ Obligations (a) Each of the Sellers’ board of directors’ meeting and/or shareholders’ meeting (as the case may be) shall have approved the subscription of the newly issued ordinary shares of the

Hundred and Twenty-Four Baht). The total value of such transaction is more than 0.03 percent, but less than 3 percent of the Company’s net tangible assets, in which case, the Company is obliged to disclose

dispose the subsidiary’s machines for debt repayment to the debenture creditor. Furthermore, the subsidiary company was sued as the defendant in black case no. Por 1430/2561 to Samut Sakhon Province Court

0.0022 per preferred share and per calendar year. For each payment of dividends, in case the total amount of dividends received by any shareholder is less than 1 Satang, such amount shall be discarded. (b

being offered in favour of subscribers or purchasers. 4. In the case of pre-emptive purchase rights, the procedure for the exercise of any right of pre-emption, the negotiability of subscription rights