; (จ) การรายงานภาพรวมการลงทุนของลูกค้า (consolidated reporting) โดยจัดทำและจัดส่งรายงานการลงทุนให้กับลูกค้าอย่างสม่ำเสมอ เพื่อให้ลูกค้ามีข้อมูลที่เพียงพอต่อการติดตามผลการดำเนินงาน รวมถึงการทบทวนและ
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under the
proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case
whether a CRA has satisfactorily implemented the IOSCO CRA Code, CRAs should disclose how each provision of the IOSCO CRA Code is of conduct deviate from the IOSCO CRA Code and how such deviations
and provision of news, advertisement via television media, and new media in accordance with strategies of the Company to use news related media of the group companies and publish through new media
appropriately. The provision under Paragraph 1 shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. 6 Amended by the Notification of the Capital
Meeting of Shareholders to consider and approve the Company’s and its subsidiaries’ reports and the consolidated financial statements for the fiscal year ended March 31, 2018; 3. Approved to proposed to the
transaction size of 30.24% of net profit of the Company’ s consolidated financial statements as of 30 September 2017. The transaction size is higher than 15% threshold criteria but lower than 50% threshold