Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102
; Higher volume from major customers, new model launch, new product launch, new order from overseas customer and management’s effort to diversify into more product range led to higher revenues. Thailand
Exchange Act 2535 116 12/03/1992 16/05/1992 5. Notification of Capital Market Supervisory Board Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products
extension together with supporting reasons for the SEC’s consideration. Furthermore, this situation may prevent clients who are required to post additional margin for derivatives trading on Friday, 28 March
of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
supported the revenue of the Company and subsidiary in the Philippines to grow substantially as a result of increasing demands from customers since the end of 2016. Also, in Q4/2016, the Company set up
distribution channels is increase that for cover more the customers. Please be informed. Yours Sincerely, Panya Bunyapiwat Chairman
Securities and Exchange Commission No. KorKhor. 16/2547 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors dated 8 March 2004. “Clause 2/1. In providing services to customers