Doubtful debts For year 2015, the Company had the doubtful debts from misuse of income derived from bills of exchange issuance by the resigned Executive Directors. The Company sued the 2 aforementioned
company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of inappropriate and illegal actions by its employees. The aforesaid defects of AEC
. Even though the relationship between clients and employees was found out, the company did not use such information for the benefit of supervision to prevent misuse of inside information or commission of
ขายสัญญาซื้อขายล่วงหน้าที่ไม่เหมาะสม (trading abuse) 8.1 เนื้อหาของกฎเกณฑ์ที่ให้อำนาจของศูนย์ซื้อขายสัญญาในการดำเนินการเกี่ยวกับการซื้อขายสัญญาซื้อขาย ล่วงหน้าทั้งที่สมาชิกกระทำเพื่อตนเองและเพื่อลูกค้า
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
to separate client’s assets from custodian’s assets, safe keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to
derivatives trading practices and trading abuse, derivatives broker shall specify conditions as specified in the notification of the SEC Office in the aforesaid contract in Clause 16. Clause 18. The
omission of any act, willfully or negligently, of the derivatives broker or its personnel Clause 17. For the benefits of prevention and desisting an unfair derivatives trading practices and trading abuse