the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

to their shareholding proportion, in which the exercise of warrants may be done by a person who is not a shareholder of a listed company or a public limited company which is obliged to the duty under

person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact approved by the Office if such person can operate as investor contact

under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator

transaction will have the transaction size of 5.39 % of the net tangible asset (NTA) of the Company. The size of this transaction is more than 3% of the NTA of the Company. The Company has the duty to hold a

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by

consolidated basis as of 30th September 2018, is less than 15% and the total size of all transactions within the past 6-month period does not exceed 15%, the Company has no duty to disclose the transaction under