making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading
securities trading to their counter trader in writing in due time after making a deal. Clause 14.10 Securities company shall report securities trading information to Thai Bond Market Association as rules
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
เลขาธิการสมาคม พร้อมด้วยนางพัชนี สินวัฒนาเจริญ ประธานกรรมการชมรมผู้ดูแลการปฏิบัติงานด้านหลักทรัพย์ (compliance club) และคณะกรรมการชมรม เพื่อหารือแนวทางในการพัฒนาและส่งเสริมการปฏิบัติหน้าที่ในการกำกับดูแลการ
Asphere Innovations Public Company Limited Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules
which the resolution of the unit holders authorizing the capital increase shall be required in compliance with the followings; (a) the resolution to increase the capital by offering the units specifically
shall not deal with the issuance and offer for sale of depositary receipts that includes a fund raising of foreign companies. Chapter 1 Application for Approval ____________________ Clause 5 Any person
deal, Aapico ITS Co., Ltd. (“AITS”) needs to sell its 60 percent equity in Aapico QI Sdn. Bhd. (“AQI”) in Malaysia for an amount of SGD 450,000. The Company had to make this sale for the reason that QI’s
sustainability policy themselves. The capital market and the economy as a whole could benefit a great deal from this positive environment.?The public and those interested in becoming a signatory to the I Code can