securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

committed an offense as https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8259 documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client

relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https

documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

) documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

://publish.sec.or.th/nrs/5198pe.doc documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic

documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes

transactions. 4. Sellers will comply with the conditions, confirmations and all items within sell and purchase agreements and certify their confirmations given to the Company are true. 11. Opinion of the

(SET), and the Securities and Exchange Commission (SEC) have coordinated in setting up a working system for news and rumor verifications. Initially, central contract persons (CCP) of each agency are