found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
Management and Risk Factors 8 2.1 Overall Risk Management 8 2.2 Risk Management 11 Credit Risk Management 11 Market Risk Management 15 Liquidity Risk Management 17 Operational Risk Management 18
collection efficiency. Presently, there is an increase of the average of credit limit per case equivalent to 65.5% compared to the end of year 2017 (average from 18,380 baht to 30,423 baht). It’s also enhanced
. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
correction to any record, the securities company shall complete such correction within the same working day when the cause of correction is found and shall record the cause of each correction. Clause 14 A
materiality. TRIS informed RML that TRIS downgraded the RML credit rating to "BB+" (Double B Plus) from "BBB-" (Triple B Minus) and the rating outlook is revised to "Negative" from