Duty as Professional ________________ Clause 1345 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client
, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities give force to the securities company including ethics and professional
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
DAOL SECURITIES (THAILAND) PUBLIC COMPANY LIMITED Dao Securities (Thailand) Public Company Limited (“DAOLS”), in its capacity as the bondholders’ representative, failed to perform its duties with the
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
Zipmex Company Limited Between November 9, 2023 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, failed to provide effective systems for selecting
Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action resulted in the
Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the