related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] o Providing a procedure or compliance guideline for emergency change and
ชี้ชวนส่วนสรุป_TISCOU13_change fee_300312 1 ก ก ! " 13 ก ก ก ก 13 (TISCO Roll Up Bond Fund #13) ก-./01.กก234ก4ก-0 ก567.8 ก 9.0ก: ก 1,000,000,000 = (>1=?-) 4@ก A40-4B/ก = C3กA- D 1 32 A40-4 ก 3:- 1:ก. 99.0 ก 42 15 A3:- 1:ก. (150,000,000 =) 10 = ( ==?-) ! " !# !$% !"!&' !"กก 30 . ?4 2554 ! ( % !&'ก 12 H 19 ก44 2554 ก &% ( ) ก(%!# !ก*+ $" ? .2.:= 0-1กJ=/3กก242/2.ก=J=/1Kก-0 Lก ก & $ !-.( $" ? ก32@/0/2/N Lก@ 2 O/2/N0 2 O /2/Nก N/0N1P 3 ก47N47 N1NกกJ4- DN140@40>1N440...
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
personnel in such units. However, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation
to have executed trading orders for a client in such a way that inflated the price of the securities continuously, causing the price or the volume of such securities to change from the normal market
report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in the request form for a change of client?s address in order to prevent such client from receiving
of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be applicable, mutatis mutandis. The operating plan of the SEC Office under the first
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her