information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment
THB 90.67 million, decreased for THB 110.16 million or 54.85% comparing to the fiscal year 2013 which the realized net profited was THB 200.83 million, for the following reasons; Revenue. The company
of December 31, 2015 of THB 82.53 million, decreased for THB 173.20 million or 191.02% comparing to the fiscal year 2014 which the realized net profited was THB 90.67 million, for the following reasons
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first
suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities