) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client’s [pending] order for trading or engaging in a
of such purposes should be given, as well as the amount and sources of other funds needed. Disclose also how the proceeds will be used pending their eventual utilization for the proposed purposes. 2
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
the requirements under Clause 21(3). Clause 23 The applicant shall arrange the bondholders’ representative with the following characteristics: (1) be listed as a qualified person to serve as bondholders
turnkey projects, pending the full members of owner‘s acceptance committee in place for the final handover inspection, caused delays in revenue recognition to next quarters accordingly. Profit for the
investment decision carefully. For example, Notice Pending (NP) in case of awaiting material information, or Caution (C) in case a listed company has the characteristics as prescribed in the governing
transactions as selling off the said assets will cause ADAM to be considered as a cash company. As a result, ADAM might be posted ?NP? (Notice Pending) by the Stock Exchange of Thailand (SET) prior to being