or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
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) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control
Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission Contact The Securities and Exchange
inaccurate financial positions in the financial statements, e.g. pseudo capital increase, accounting records without supporting factual evidence, inaccurate investment reports, and overexaggerated liquid
SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly advised to immediately check mutual
securities investment records and income statement. His wrongdoings were in violation of Clause 2 of Section 281/2 in conjunction with Sections 89/7, 307, 308, 311, 312, and 313 of the SEA. With his confession
used for the benefits of such TUCC executives. The actions of Yongyuth, Vacharee, Suchit, Nitaya and Suttirat to jointly proceed for TUCC to make false records on the purchase of black steel from eight
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or