than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records
) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control
Agreement / Other Agreements |- Auditors | - |- Approval (Section 106) |- Accounting and Financial Statements (Section 105, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising
an agreement to trade securities with the counterparty . Clause 15 A securities company shall report information on the trading transactions of the securities registered with the Thai Bond Market
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
concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records practice, and the questionable transactions of land sales and purchases. The company was also