making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading
securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading information to Thai Bond Market Association as rules
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection. Investors and the public can file a
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market
client relationship partners or does the Registered Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a
duty. (2) the name, duration, type, and objective of the trust; (3) the name, address, and telephone number of the settlor; (4) the name, address, and telephone number of the trustee; (5) the name
purchasing to deal with new suppliers for better deal in term of better price, volume and credit term. Page 2 of 3 Selling and Admin Expenses % Selling and admin expenses to revenue of Q3 2017 and Q3 2016 are