as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of

accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025

is responsible for 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

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

LIMITED RICHY PLACE 2002 PUBLIC COMPANY LIMITED RMI COMPANY LIMITED ROBINSON DEPARTMENT STORE PUBLIC COMPA... ROCKWORTH PUBLIC COMPANY LIMITED ROCTEC GLOBAL PUBLIC COMPANY LIMITED ROJANA INDUSTRIAL PARK

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

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