ส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement) 23/01/2552   หนังสือเวียน ที่ กลต.ธ.(ว) 54/2549 เรื่อง การซักซ้อมความเข้าใจกรณีการแจ้งรายชื่อเจ้าของหลักทรัพย์กรณีที่มี

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and

E_1 Legal_FA_2015_12_29-c A WWCCoorrppLL44..11hhiigg A Executive Summary 1 Management Discussion and Analysis For the Year Ended December 31, 2017 In 2017, Thai economic growth gained traction, buoyed by strong recoveries in tourism and exports. This growth momentum is expected to carry on into 2018, especially amid a brighter outlook in public and private investment. Nonetheless, the business sector remained challenged by new modes of competition in a broader marketplace amid the advancing digi...

percent. The transaction is classified as a Class 2 Transaction according to Notifications on Acquisition or Disposal that is transaction value equal or greater than 15 percent but less than 50 percent

client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the

classifying information according to organization’s classification scheme and establish the operating procedures for each level of classified information; (9) define information security requirements