transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
was for the purchase of mutual fund units on their behalf. However, the money was, in fact, not used for the buying transactions as per clients’ orders, but for Teerasak’s personal matters instead. In
increase of trading credit lines of several clients who submitted incomplete financial documents, or whose financial condition was materially inconsistent with their financial transactions, or whose
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
trading orders and inform the client of the transactions afterwards. It was found that the client acknowledged the transactions without any objection. The {C} case follows investor complaint and the report
as follows:1. Strengthening Enhanced CDD and the monitoring of unusual transactions by requiring business operators to take the following actions: (1) Conduct Enhanced CDD in cases where information
2019 decreased by Baht 1,817 million and Baht 3,235 million, respectively or 47% and 34% decrease compared to the same period of 2018. This was due to an extra income from sales of land in the third
can be described as following. Net profit and net profit margin attributable to the parent Quarter 1 Year 2023 Quarter 1 Year 2024 (Unit: THB Mn) Ordinary Extra Total Ordinary Extra Total activities
4,826 million or 38% decrease compared to the same period of 2018 since there was an extra revenue from sales of land in the third quarter of 2018. Meanwhile, revenue from condominium projects decreased
the same period of the previous year. The decrease was a result of the extra revenue from additional construction work of Xayaburi project recognized in Q2 2016. However, the gross profit margin for the