and deposit service on self-issued DA to establish a system segregating their clients’ DA from their own assets, and would prohibit them from seeking benefits from the clients’ DA under their custody
Governance Code 2017 Detail Content CG Code Part 1 Principles and Sub-Principles Principle 1 Establish Clear Leadership Role and Responsibilities of the Boar d Principle 2 Define Objectives that Promote
show its capability to operate as a derivatives exchange as prescribed under Section 57 and in accordance with the Notification of the Securities and Exchange Commission, the Notification of the Capital
detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
document; (4) in cases where the results of a suitability test under Clause 30 show that the risky or complex capital market products under Clause 34 may not be suitable for a client and the client insists
: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered [such
million in the previous year to THB 14.75 million this year, or increasing THB 6.73 million. The consolidated financial statements show a net profit for the six-month period in Q2/2017 of THB 98.53 million
Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for
, embezzlement and permission to prepare inaccurate accounts, which caused the GL financial statements to show an excessive amount of US54 million dollars in the loan transactions and thus the exaggerated interest
statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and