investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
substantiated by reliable documentation, including taking into consideration investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the
shares of the company under (b) and shareholding in each level exceeds fifty percent of the total number of shares with voting right of such other companies; (d) a company holding shares of the applicant
of shareholding, beginning with the company holding shares of the company under (b) and shareholding in each level exceeds fifty percent of the total number of shares with voting right of such other
and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on Securities and Exchange; “beneficial owner of derivatives traded by a client” means: (1) an owner or co-owner
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
obtaining audit evidence) ผลการประเมิน คำอธิบาย ประเภทการวัดผล Maturity Level 1 (M1) Maturity Level 2 (M2) Maturity Level 3 (M3) Maturity Level 4 (M4) Maturity Level 5 (M5) หมวดที่ 1 การกำกับดูแลและบริหาร