Office may order the derivatives broker to rectify, do or refrain from doing any acts related to derivatives investor contact service or back office service from service provider. Notified this 8th day of
specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service from service provider. Clause 11. Securities company
specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service from service provider. Clause 11. Securities company
the service provider does not have qualification as specified in Clause 3, the Office may order such securities company to rectify, do or refrain from any act related to the using of back office service
amount at Baht 300 million at the end of 2015. By the way, 2 ex-Boards and 1 individual misused the amount from bill of exchange, SEC office instructed the rectify the financial statement of 2015 and
amount at Baht 300 million at the end of 2015. By the way, 2 ex-Boards and 1 individual misused the amount from bill of exchange, SEC office instructed the rectify the financial statement of 2015 and
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so. In addition, the SEC has sent a circular to all
and surveillance of AEC's core work systems and failed to amend and rectify even though they had been informed of the company's inspection results and reports from the back office regarding clients
executive officer in charge of front office, had generally neglected supervision and surveillance of AEC?s core work systems and failed to amend and rectify even though they had been informed of the company?s