, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with

of the price fluctuation risks, has set the policy determined especially in raw material procurement procedures. The Company attempt to maintain a faster inventory turnover, where raw material (CPO

risks, has set the policy determined especially in raw material procurement procedures. The Company attempt to maintain a faster inventory turnover, where raw material (CPO) and product (Biodiesel) were

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures