forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
, the securities company shall notify the SEC Office in writing of such change of position or power of management of the said person in accordance with the form and procedure provided on the website of
by 8.9% from the marketing activities expenses. The administrative expenses reported at Baht 28.8 million, increased by 4.1% due to writing off the obsolete finished goods and raw materials. Shutdown
custody, the company is requested to transfer or return the assets according to the clients? order and report the results of the matter to the SEC. The SEC has already notified Coin Asset in writing of the
writing to the Office. Unless the Office gives an objection in writing within fifteen days from the date of receiving the notice, the investment advisory company may change such work system. Clause 2/1. An
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and