where service provider is unable to perform the outsource activities; and (iii) measures to prevent conflict of interest are also required. For outsourcing to a company in corporate group which is a
by the public at large while the operating business must not create any conflict of interest with the securities business applying for the license. In addition, the existing and new coming Type D
issues.?Nowadays, only 219 companies have issued bonds, comprising 124 listed and 95 non-listed firms. Bond issuance could help diversify fund raising for cost restructuring while interest rates are low
financial products. For the best interest of the fund members, they should also be well-versed in selecting asset management companies, monitoring and assessing performance of asset management companies to
amount to the benefit should have been received from committing the offence in a sum of 522,500 Baht together with 7.5% interest calculated from the amount equals to the benefit should have been received
. After receiving the loan money from GLH, the five debtor companies transferred the money within the companies of the lender’s group to repay for the interest and the principal to GLH in installment. The
a breach of contract as an amount of Baht 94,474.27 and interest until the payment is fully made. Subsequently, on 5 September, 2018, Mr. Noppadol sold 2,000,000 TRUE shares by using such inside
) LIMITED SECURE WEALTH INVESTMENT ADVISORY SECURITIES COMPANY LIMITED CGS-CIMB SECURITIES (THAILAND) COMPANY LIMITED CENTRAL WEALTH SOLUTION MUTUAL FUND BROKERAGE SECURITIES COMPANY LIMITED SOCIETE GENERALE
securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation