made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
2009 shall mean a reference to this Notification. (Translation) -4- Clause 8 This Notification shall come into force as from 16 June 2010. Notified this 15 th day of June 2010. -Signature- (Thirachai
. “Services relating to securities business” mean serviced which are incidental to or relating to securities business and deemed to be ordinary operation of securities companies, e.g. financial
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005, it shall mean a reference to this Notification. Notified this 14th Day of October 2009
Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005, it shall mean a reference to this
Independent director Board Remuneration Roles and responsibilties Q: Who does the term, “executive" mean in the Securities and Exchange Act B.E. 2535 (1992) (SEA)? A: The term, “executive" means a
promote integrity in the development of the Social Bond market by clarifying the approach for issuance of a Social Bond. The SBP are intended for broad use by the market: they provide issuers with guidance
pattern, and earnings streak are interchangeably used throughout the paper. By these words I mean a string of consecutive increases in quarterly earnings defined in section 4.1. 3 in turn, leads to a