) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
) Proprietary trading as specified in Part 1; (2) Affiliated Transaction as specified in Part 2; (3) Soft commission as specified in Part 3; (4) Staff dealing as specified in Part 4; Management company shall have
brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely; (9) Every operation
in the category of brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
(after taken into account exchange rate) (1,446) Cash and cash equivalents at the beginning of the period1 18,839 Cash and cash equivalents at the end of the period1 17,393 Note: 1. Including temporary
Position Unit : Million Baht 30 September 2017 30 September 2016 +/- Assets Current assets Cash and cash equivalents 264 623 -58% Temporary investment-trading security 19 - 0% Trade accounts receivable 456