prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
-KYC) Expanding new target of customer by launching E-wallet application on smartphone called “Be Wallet” with the target of over 100,000 subscribers (revised down) At the current, the telco operators
saving and convenient service such as: 3.1 LH Bank M Choice Service is a financial transaction with security global standard on smartphone and iPad. This service provides an easy-to-use and response in
saving and convenient service such as: 3.1 LH Bank M Choice Service is a financial transaction with security global standard on smartphone and iPad. This service provides an easy-to-use and response in
impose excessive costs on small and medium-sized businesses and startups. SEC will also continue to develop fund-raising platforms and channels suitable for new generation investors and promote
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
และ fund of funds และนโยบายในการป้องกันผู้ลงทุนซื้อขายหน่วยลงทุนถี่เกินไป (Excessive Trading Policy) 28/03/2554 11. หนังสือเวียน ที่ กลต.น.(ว) 48/2550 การดำเนินการในระหว่างที่ตลาดหลักทรัพย์แห่ง
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
not overlap duties of the management or the requested information should not be excessive. Q: Prior proposing to the board, shall the company has approval from audit committee in case it applies for a