in auditing and reviewing its 2014 and Q1/2015 financial statements where the auditor expressed qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit
section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34
the Securities and Exchange Act B.E. 2535 (1992) and section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons
B.E. 2535 (1992) and section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and intensity of the procedures mentioned in
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis
pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account
investors, which incurs an obligation for PACE to repurchase a certain amount of its preferred stocks from the counterparties. The clarification must inform whether there will be any effect on the company's