เสนอขายหลักทรัพย์ Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an
following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and provide the following information, and clarify on such information in
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a
. 19/2548 Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities
Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities company appoint a person who make a decision
/2555 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities (No. 2) dated 18 January 2012. 5 (1) provide information to the client regarding the risks and characteristics of the bonds to be
, such securities company may arrange for a person who is not an investor contact to proceed, provided that such securities company shall comply with the following rules: (1) provide information to the