Offeror : MR. PHONGPHAN SAMPHAWAKUPT | Date of submission of the Statement of Intention : 24/08/2007
usable, consequently necessitating sales below cost. However, the auditor was unable to verify this claim and found no supporting evidence to confirm the stated facts. After considering in conjunction
test may confirm the past result without having to redo the test. The regulation will become in force as from 1st July, 2012 for preparation of relevant operational systems.
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be
unit responsible for post- trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be a member of the Thai Bond Market Association