(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
careful. However, several instances found during our inspections seemed to suggest otherwise, especially regarding the insufficiency of audit evidence to support its conclusions, inappropriate procedures
intention to conceal the fact and fabricating false evidence. She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses. Following a referral from
baht as specified to the counterparty. According to the evidence, the counterparty had already repaid the 30 million baht to WORLD through Ms. Hongsri and Mr. Chiyachantana. However, there was no proof
that no peatlands have been converted since 2010 For smallholders: • FSC or PEFC certification plus confirmation that no peatlands have been converted since 2010 OR • Satellite evidence that all
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
gave them to the clients as completed transaction evidence, or opened fake accounts in the clients' names or others', and upon fund maturity deposited money of other clients into the clients' saving
A-3 Form for Confirmation of Cost of Tendered Shares (Only for foreign juristic persons not operating a business in Thailand) Form A-4 Power of Attorney (for Tender Offer Acceptance) Attachment 2
Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of