derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual
Professions (TFAC), the Association of Thai Listed Companies and audit firms in the capital market confirmed that the concept and principles of the auditor minimum could favourably contribute to higher quality
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
, Mrs. Sittasri Nakasiri holds the Bachelor’s Degree in Accounting from Thammasat University and the Master of Science from Saint Louis University, USA. She is also a certified financial analyst (CFA
จากมหาวิทยาลัยเซนต์หลุยส์ ประเทศสหรัฐอเมริกา และได้รับคุณวุฒิ Certified Financial Analyst (CFA) เข้าร่วมงานกับ ก.ล.ต. ในปี 2540 โดยที่ผ่านมาเคยดำรงตำแหน่งผู้อำนวยการฝ่ายบริหารความเสี่ยงองค์กร ฝ่าย
certified by all directors. In addition, an executive summary must also be distributed to investors together with a subscription form. The ACMF framework refers to the multi-jurisdiction offering of equities