entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund
months. The civil sanction imposed by the CSC will take effect when the offenders sign a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit
months. The civil sanction, as imposed by the CSC, will take effect when the offender signs a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
บุคคล และจัดทำนโยบายความเป็นส่วนตัว (privacy policy) (2) จัดทำแบบฟอร์มการขอความยินยอม (consent form) (3) จัดให้มีมาตรการรักษาความมั่นคงปลอดภัยที่เหมาะสม เช่น การกำหนดสิทธิ์การเข้าถึงข้อมูล (access control
Section 86 of the Criminal Code. The Civil Sanction Committee decided to impose civil sanction on both offenders, who subsequently made a statement of consent to the civil sanction and fully complied
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
a statement of consent to the civil sanction and fully complied therewith, as follows: (1) Pinit paid a civil penalty of 880,312.50 baht and a compensation of 704,250 baht for the received benefit
benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
profits by 12.5% as a result of higher efficiency gains from effective cost controls, despite a decrease in total revenue by 3.4% primarily due to the decline in revenue from sales, consistent with the