the SEC under Section 143 of the Securities and Exchange Act, B.E. 2535 (1992) to give an order otherwise, the investment advisory company under Clause 3 which is unable to maintain adequate collateral
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard
the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary. In this regard, the appointment of
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
ArtLion, including NYK do not have any other connected transaction with in the past 6 months. In order to comply with the Connected Transaction Notifications, the Company has a duty to prepare a report and