report of Country Group Securities PCL, the SEC probed into the case and found that {A}, a securities investment consultant and the executive vice president of the branch, traded securities on behalf of

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded

และความเชื่อมั่นที่สมเหตุสมผล (worst-case scenario) จากการทำธุรกรรมดังกล่าว (1)  สัญญาซื้อขายล่วงหน้า รวมถึงตราสารที่มีสัญญาซื้อขายล่วงหน้าแฝง ทั้งนี้เฉพาะส่วนที่มีลักษณะเป็นสัญญาซื้อ

;              (2.8) อื่น ๆ 15.45 – 16.30          Case study ประเด็นที่ได้จากการตรวจสอบ          

“Risk Factors” and separate different types of risk factors into different subsections. 3. In case of offering for sales of unusually risky debt securities, highlight the riskiness of securities on the

in proportion to the value of any short sale transaction prior to making such short sale transaction, as the case may be; “client’s excessive assets” means assets of any client which exceed the amount

Sellers’ Obligations (a) Each of the Sellers’ board of directors’ meeting and/or shareholders’ meeting (as the case may be) shall have approved the subscription of the newly issued ordinary shares of the

Hundred and Twenty-Four Baht). The total value of such transaction is more than 0.03 percent, but less than 3 percent of the Company’s net tangible assets, in which case, the Company is obliged to disclose

expand with the doubling of PTA (recently completed). Although the high IPA margins will gradually normalize but we expected them to be more than offset by the dou- bling of IPA production starting 1H18