had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in

Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan

in which they invest in order to assess their individual circumstances, performance and long- term potential, and to consider whether there is value in intervening to encourage change. 2.3 Proactive

Preparation of Prospectus Objective A management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the

line with the Paris Climate Agreement. Investor capacity to assess green credentials is, however, limited, especially in the fast-paced bond market. The Climate Bonds Standard & Certification Scheme aims

emissions. The objective of the Taxonomy is to standardize economic activities in order to use it as a benchmark or assess economic activities that are climate-aligned. The Taxonomy can also be one of the

capital of 5 million baht, requiring to have proper management structure and adequate personnel for business operations. ICO portals must be well-prepared to due diligence ICO issuers, assess business

efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once applicants for licensing are well-prepared and have

Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business