rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
clients. In addition, we remained cautious in credit underwriting of small and micro businesses, and focused mainly on existing customers with good track records or classified as low-risk customers. 2.2
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
(actuaries) for calculation "Employee Benefits" The company have switching from individual (actuaries) to the Thaire Actuaries Consultant Company Limited,the Company has made additional more inquiries. As
allowed. For your information and compliance accordingly. For further information or inquiries, please contact the Investment Management Policy Department via Ms. Slil Laokiat, Officer, at Tel: 0-2263-6511