from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
through its representative office. Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
Securities and Exchange Act B.E. 2535 (1992) 8 Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account from a person who was not the owner of the account without any written authorization
specified in the notification of the Office. SECTION 137. In accepting assets into custody, the custodian shall segregate the deposited assets from its own assets, and shall deal with the deposited assets in
ธุรกิจ สินทรัพย์ ดิจิทัล (ฉบับประมวล) ______________________ http://law.sec.or.th/content/4039/6409/9#6409 กธ. 19/2561 เรื่อง หลักเกณฑ์ เงื่อนไข และวิธีการประกอบธุรกิจ สินทรัพย์ ดิจิทัล (ฉบับประมวล
Inappropriate client acceptance assessments which resulted in the audit firms accepting engagements with risks that went beyond an acceptable levels; Lack of documentation on the background search of potential
Nation Digital Content Co., Ltd. (“NDI”), which the highest transaction value equals to 3.81 percent based on the total value of consideration criterion and the 9-month interim consolidated financial
E_1 Legal_FA_2015_12_29-c A WCorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2018 In 2018, the overall Thai economy maintained its growth due largely to healthier growth of exports and tourism, especially in the first half of the year. Meanwhile, the government continued to implement measures to promote and strengthen the domestic economy through support of investment and private spending as well as bolstering opportunities for other econo...