custody system by ensuring that client assets denominated in Thai baht are kept separate from the company’s assets and establishing an efficient system for the deposit and withdrawal of monetary assets; (3
impose civil sanction on the eight offenders. In this regard, (1) PCL, (2) Pranay, (3) Manish and (5) Amit were ordered to pay a separate civil penalty of 500,000 baht while (4) PAPL was ordered to pay
Committee imposed a separate fine of 999,999.99 baht. (3) RCI price manipulation: The SEC, on December 28 2010, filed a criminal complaint against Adirek Umbangtalad with the Department of Special
types of securities to support strategic fund mobilization and accommodate new product launches; (4) To divide intermediary supervisory units with separate focuses on development and inspection; (5
separate the loan for 3 times 3. *** The company required to extend the period of loan for 9 months, from the previous on 17/03/2018. The remaining loan amount of 35.25 million baht, interest rate of the
2017 ended September 30, 2017. Such financial statements comprise of the consolidated financial statements and the separate financial statements as compared with the financial statements for the first
acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty
control unit which meet acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and
Offer for Sale of All Types of Debt Securities, and in cases where the sukuk issuer is a juristic person separate from the originator, the term “debt securities issuer” under such Notification shall