;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
, and the non–audit service fee received or accepted from each client thereof (on the accrual basis) for the year ending (the last day of the pervious accounting period
services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
The SEC has received excellent results in the CRMS Assessment for the year 2023 from the PACC* in the areas of approval related operation, which demonstrated the SEC’s commitment to driving and
/2017, the Company and its subsidiaries recorded ending cash of Baht 72 million, an increase from Baht 58 million at the Q2/2016, with details as follows: Net cash received from operating activities of
identify the real client or beneficial owner, the intermediary shall deny providing any service. Clause 33 ( For the purpose of categorizing a client, an intermediary shall consider the received information
identify the real client or beneficial owner, the intermediary shall deny providing any service. Clause 33 For the purpose of categorizing a client, an intermediary shall consider the received information