transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
be used by any person. Clause 14 A securities company shall confirm a securities trading transaction with its counterparty in writing within an appropriate time after making an agreement to trade
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for
(Translation) 1 / 2 CS 0238 /2019 June 25, 2019 Subject: Connected transaction : Selling Land Attn : President The Stock Exchange of Thailand With reference to the Board of Directors Meeting No. 4
(Translation) 1 / 2 CS 0238 /2019 June 25, 2019 Subject: Connected transaction : Selling Land ( Correction of Title deed No.) Attn : President The Stock Exchange of Thailand With reference to the
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
cost of funding. The interest rate charged from the transaction is considered to be a market rate as dealing with financial institution and close to the rate that the Company funding from financial
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the