: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their
; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 5/2560 Re: Rules on Personnel in the Capital Market Business (No.6) dated 9 February 2017 (effective on 1 January 2018). 3 (d) structured
company”, “executive”, “institutional investor”, “high net worth investor”, “short-term bond”, and “structured note” shall have the same definitions as given to such terms in the Notification of the
Polyethylene Naphthalate (PEN) polyester high value-added films for the specialty, industrial, packaging, automotive, advanced magnetic media, photo systems, electrical and electronics markets and many more
caused many factories in China to stop operations to improve their factories, including the furniture manufacturing plants, thus they stop to order the Rubber wood kiln dried sawn timber for their
many areas and debt amount remained in high level. Confident index of consumer continuously decreased. Therefore, it affected the expense atmosphere to be sluggish. Cost of goods sold was 138.13 million
guidelines for the Protective Measures Against the Spread of COVID-19 in many areas in the country caused to the postponement of film production and film right distribution which affected the revenue of the
records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN