Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
Ms.kanokwan Tippayathoadtana During July 15, 2004 - February 9, 2005, Miss Kanokwan Tippayathoadtana, an investor contact (marketing officer) at Capital Nomura Securities PLC, aided and abetted in
Miss Nongluck Sinprasertlert Miss Nongluck Sinprasertlert, an investor contact (marketing officer) at Kim Eng Securities (Thailand) PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the
Mr. Adirek Umbangtalad Mr. Adirek Umbangtalad, an investor contact (marketing officer) at Merchant Partner Securities PLC, aided and abetted Mr. Sagha Sakulekpaisan in manipulating the share price of
Mr. Kanok Juntarachot Mr. Kanok Juntarachot, director of K.N.O. Marketing Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the
as follows: The entering into the Marketing Support Service Agreement between Dream Islands Development 2 Private Limited ("DID 2") (a subsidiary of the Company having 99.99 percent of total issued and
Amendment to the Agreement of Advisory for Sales and Marketing Management Contract date After the Board of Directors’ approval The related parties 1. LH Mall & Hotel Co., Ltd. (LHMH), the subsidiary which
|- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter Marketing |- Approval and Standards
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18