), as well as the AMLO’s issuance of the Counter- Terrorism Financing Act B.E. 2556 (2013) and subsequent rules with details pursuant to both Acts for application to intermediaries. The SEC Office hereby
over-the-counter center, or derivatives contracts on the Derivatives Exchange for 3 years from 28 October 2021; a bar from serving as a director or executive in a securities issuing company or a
letter of credit or a letter of guarantee. 23 The securities company shall count in the value of assets additionally received from the client as collateral for debt repayment in a margin account for the
the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value, e.g
Thailand or the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value
of Thailand or the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act
prohibited from trading securities on the Stock Exchange or over-the-counter trading centers or entering into derivatives contracts on the Derivatives Exchange for one year and six months, and banned from
transaction in the workpapers. 3. Inspection of inventory The SEC found that some auditors have deficiencies in auditing inventory balance, such as inventory physical count observation, unit cost testing, net