disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
the Office only when the securities company cause the relevant executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The securities company shall
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office
likely to leave EY in 2020. H2: KPMG’s existing clients are more likely to leave KPMG in 2020. H3: EY’s existing clients are more likely to leave EY for other Big 4 companies in 2020. H4: KPMG’s existing
not being incriminated nor prosecuted under the laws, either Thai or foreign, on anti-money laundering by an authority in charge and shall have no records on such offence during the period prescribed by
, market conditions are not a closed system and testing how individuals react to stimuli is an incomplete hypothesis as any individual can enter or leave the equity markets at any time. We hypothesize that
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money
Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti-Money Laundering Office (AMLO)’s amendment to the Anti-Money