;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
subsidiary company to enter into transaction to purchase assets from Exact Q Co., Ltd. who is a connected party to the company, in an amount of not exceeding Baht 18,000,000.-, according to transaction details
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
market funds are likely to grow in size and emerge as an alternative for people looking for the place to park their cash.However, money market funds are currently subject to more stringent rules than other
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
PATHANAPIBUL PLC. [SPC] WBLP Company Limited [WBLP] I.C.C. INTERNATIONAL PLC. [ICC] EXACT Q Company Limited [EXACT Q] I.D.F. COMPANY LIMITED [IDF] 3) Connected persons and form of relation Co-Director / Co
} did not confirm the exact securities volumes and prices with his client. In addition, he sometimes sent trading orders and informed the client afterwards that the client has never objected or rejected
from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body. Inevitably, supervision on auditor in Thai capital market must be developed in
principle-based advertising guidelines are sufficiently appropriate and consistent with securities regulations; (3) Standardize the warning notices as a single, most stringent format that covers