to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of
the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information
that all of the aforementioned documents contain the information which is correct, accurate and complete in all respects. I also certify further that the said documents neither contain any false or
, and is expected to complete construction by April 2019. o The Company has established a subsidiary called BCPR Co., Ltd. in Thailand and its subsidiary in Singapore called BCPR Pte. Ltd. to joint invest
business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii] the intermediary ’s personnel would be able to complete their
, and [ii] the intermediary’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including
complete qualifcations as specified, the Office shall propose the case for the Securities and Exchange Commision to consider granting the license, in which case the Securities and Exchange Commission shall