to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action

accounts of those related clients. She later withdrew the money for her own personal gains, causing damage to the solicited clients who had made the deposits in the first place. Consequently, Maybank Kim Eng

analyst will be allowed to cover no more than 15 securities in average; published research must be updated at least 4 times a year; brokers must put in place control over quality of investment research and

will include new assessment questions, additional weightage for certain questions, particularly those on the Role of Stakeholders, and a streamlining of questions to place greater emphasis on practicing

place importance in the handling of its data management system or securities business related evidence. The Criminal Fining Committee therefore imposed a fine penalty on the bank for such defects on 26

, life-insurance companies, Government Pension Fund, and Social Security Office, all have in place policies against corruption and achieved level 1 or higher; signifying strong commitment of their

Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify

place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position

ยา่งต่อเน่ืองจากปีก่อน อยา่งไรก็ตาม ยอดขาย ผลิตภณัฑใ์นกลุ่มเพาเวอร์ ซิสเตม็ส์ท่ีใชใ้นระบบโทรคมนาคม (Telecom power) ไดล้ดลงร้อยละ 13.3 จากไตรมาสเดียวกนัของปีก่อน ก าไรขั้นตน้ในไตรมาสหน่ึงของปี 2561 มีจ า