business operator must arrange sources of short-term finance to allow maintenance of NC, and with respect to the rules which allow the business operator failing to maintain NC to continue providing
and to arrange a special audit on the sources, existence and status of such debts which consequently caused EARTH to apply for business rehabilitation. The results of the special audit must be disclosed
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity
out to differ from those anticipated; 1.2 Misuse of inside information. Any person who has access or possesses inside information (insider) must not seek unfair advantage of other investors or tip
บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
from the sale of client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a