take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
all-time high in term of revenues and number of units transfer over 2 periods. For the 2nd quarter of 2017, there were 33 residences transferred to the customers which generated importantly the revenues
. MahaNakhon Project: The Ritz-Carlton Residences, Bangkok (“RCR”) of MahaNakhon project has started transferring the residences to the customers since April 2016, and also showed all-time high in term of
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
/Documents/ca/Documents/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or
goals. Hence, determination of regulations on supervision of derivatives clearing houses, efficient use of information technology (IT governance), and implementation of appropriate risk management and