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

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

to misappropriate 80.1 million Baht from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for advanced procurement of raw materials with Union Gas and Chemicals Co., Ltd. in 2004

specified in the notification. In this regard, Coins TH distributed advertising materials promoting its products without the clear and visible cautionary statements on such ads. DAB Act S.30 Settlement

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international

record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited

Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements

| - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records