that it deals appropriately with: (a) complaints and allegations that the work performed by the firm fails to comply with professional standards and regulatory and legal requirements; and (b) allegations
financial advisor (IFA) that the transactions are not reasonable as fair value of AJP share should range between 13.60 ? 14.00 baht per share. Hence, the total value of AJP shares to be issued will exceed the
Microsoft Word - E-0002 (Translation) No. CK-18-0000-PO-L-0002 January 5, 2018 Re: Report on Connected Transactions in Respect of Office Building Lease Attn.: President of the Stock Exchange of
hereby notify that the resolution of Board of Director’s meeting No.3/2019, consider and approve the company entering into the connected transactions relating asset or service. The detail as following
........................................................................................................................ 8 Ownership .............................................................................................................................. 9 Related Party Transactions
Investment advisors: “Any person who, for compensation, engages in the advisability of investing.” Broker/Dealer: Broker executes trades for clients / dealer executes trades for own account 90% of Investment
professions, such as direct sales, will be developed and more varieties of investment channels will be created to serve the public needs, such as convenient stores, modern trades. The initiatives would help
/insufficient disclosed information Inefficient workflow Others, please specify………………………………………………………………………… Investment Consultant: Conducting personal trades through the clients' accounts and the trades cause
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
that are important to the ongoing development of the capital market. This included Class Action Act, the Trust for Transactions in Capital Market Act, the Amendments to the Provident Fund Act of 1987