quarterly financial statements, on all of the past three consecutive years and the latest quarter, including the disclosure of related-party transactions. ;- To additionally disclose directors and
without his client's orders. Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase
outstanding units in one trading day; (2.2) The total number of investment units redeemed within 5 consecutive business days exceeds two-thirds of the outstanding units. (calculated by the total number of
outstanding units in one trading day; (2.2) The total number of investment units redeemed within 5 consecutive business days exceeds two-thirds of the outstanding units. (calculated by the total number of
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering
, the net profit was 1,640.75 million baht, an increase of 514.94 million baht or 45.74% from 2017. A success in maintaining operating results marks the 12th consecutive quarterly growth. The total