duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office
will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to
Activity report 2015 En require by the auditing standards, nor did they provide adequate examples of factors that might affect the determination of sample size. - Archive of audit files, in both paper and
referral from the Stock Exchange of Thailand concerning derivatives trading of a client of Kasikorn Securities PLC. The securities firm probed into the case and found that {C} was the one taking care of the
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and
Office the ceasing of business operation or the ceasing of transaction execution. Clause 8.9 Securities company shall provide evidence and document about securities trade completely and up date, and keep
% respectively, while international business grew at 7.3% at constant FX. Q4’19 Revenue from sales were at THB 6,621 million (+4.6% YoY). - Fit Fast Firm project (OSP’s cost saving program) successfully delivered
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes