Morgan in Hong Kong and Singapore, where he last served as the Head of Financial Institution Group (Southeast Asia), as well as stints at Bear, Stearns & Co and Peregrine Capital (USA) Inc. in New York
at 2 October 2017. In this regard, AWN, a subsidiary of the Company served a letter dated 6 October 2017 to CSL informing of its intention to make the investment in CSL by means of the Conditional
, intentional level or wanton negligence, etc.; (2) other sanction which such person has already served [for such demeanor]; (3) impact on or damage to capital market transaction or the public as a whole; (4
served; 19 (3) impact on or damage to clients, investors, company or shareholders as a whole, money market or capital market as a whole, or benefits incurred from facts or demeanors under deliberation; (4
battery as one of the major components of the energy storage system that will be served to power plants or industrial factories. However, the battery will be continuously tested to fit the needs of
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
shall take the following factors into consideration: (1) relevant roles and demeanors of persons being considered; (2) [other] penalty which such person has already served; (3) impact on or damage to
-served basis and take into consideration the interest of clients before the interest of the intermediary ; (3) specify a method and procedure for revising securities trading transactions of the clients
) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into