the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint at least five members to the board of directors, and of this at least two board members shall be
approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the
. Acquisitions of company assets in the last six months record are concluded as follow; Transaction Release Date Value (Baht) Size of transaction 1. Vanachai Group Plc. make investment on warehouse. 27 Feb. 2016
been concluded and executed by all parties thereto; (3) All corporate approvals in relation to the sale of CSL shares by DTV to AWN in the VTO have been obtained by DTV (as required); (4) The Share
to foreign currency as specified by the Bank of Thailand, and when the SEC Office has concluded that such units of foreign ETF have met the requirements of the Notification of the Securities and