Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
SEC for initiating good and beneficial projects for the capital market in accordance with the objectives of CMDF. Under this cooperation agreement with SEC, a central infrastructure for capital markets
Understanding between the Securities and Futures Commission of Hong Kong (SFC) and the Securities and Exchange Commission of Thailand (SEC) Concerning Mutual Recognition of Covered Funds and Covered Management
selling, repurchasing and redeeming units of foreign collective investment scheme, a securities company shall arrange to have an agreement in writing with the CIS operator at least in the following matters
assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the
assurance that its understanding is in agreement with the client’s understanding of the work to be performed. 12 Have there been any major gains/losses of clients in the year? _x000D_&1#&"Tahoma"&12&KC0C0C0
understanding (the “MOU”) with Kendrick Global Limited (“KG”), a subsidiary of SSG Capital Partners III, L.P. (“SSG III”). Under the MOU, SSG III and its subsidiaries wish to engage in the debt restructuring of
increase came from net interest income which rose Baht 608 million, or 2.63 percent, due largely to interest income from repurchase agreement transactions. Net interest margin (NIM) was equal to 3.37 percent