the client made inquiry on the matter, he concealed the fact and embezzled the 1,000 baht gift voucher for himself. His acts were deemed dishonest in violation of Clause 20(1) of the Notification of
/&# * #%% / * #% * &#, &' B $ % -M& F. '%'$*-#H"( A( TCR 16 !:!!; Armes, S. (2005). Depostiory Receipts, Review of Markets@05, 84-86. Retrieved November, 2007, from http://www.bseindia.com Bank of New York. DR Basics and
. Demutualization of the stock exchanges: problems, solutions, and case studies.2007. Supporting the Implementation of the Capital Market Development Master Plan. 2. CMDF. 2007 Retrieved from http://cmdf.org.my
under the first and second paragraph in complete and up-to-date manner that can be promptly retrieved and inspected by the SEC Office.” Clause 4. This Notification shall come into force as from 1 January
derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
that can be promptly retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
such evidence up-to-date for at least five years from the transaction date and the maintenance of such evidence for the first two years shall be in the from which can be promptly retrieved and inspected