the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system

Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders

the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to

are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk

Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to prevent the use of securities

. (Unofficial Translation) - 3 - Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to

own clients. It also aims to ensure that the clients have work systems in place to control and monitor compliance with the relevant regulations;   (2) To require that securities companies put in place

1 | P a g e Pace Development Corporation Public Company Limited 87/2 CRC Tower All Seasons Place, 45th Floor, Unit 4, Wireless Road, Lumpini, Pathumwan, Bangkok 10330 Tel. 66 2 654 3344 Fax. 66 2 654

” takes place every year to recognize government organization that be able to transform itself to be high level digital government and be a role model for other government agencies. SEC as an

parties shared similarility in their names and place of headquarters and also jointly worked on the same project. This counterparty had overdue payments as well as continuous and accumulated losses. In case