Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
than last year. Personal loan Receivables was 338,117 million baht, with the growth of 4% from the same period last year. In the fiscal year 2016, the Company’s total cards reached 7.81 million cards
maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year
statement with auditor’s opinion for this fiscal year compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the
MDA_E_FY17 Management’s Discussion and Analysis Fiscal year ended February 28, 2018 AEON Thana Sinsap (Thailand) Public Company Limited (“the Company”) already submitted the audited financial
subsidiaries financial statement for the fiscal year 2014, ended as of December 31, 2014 (Revised Version) which details are as following; Result 2014 (Revised Version) 2013 Increase (Decrease) Million Baht
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are