. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures. In considering the appropriate administrative sanction, SEC takes into
in court regarding the delivery of the enforcement order and writ of execution, shortening the legal execution procedure. By setting a definite timeframe, the law narrows the chance of utilizing legal
work system, personnel and risk management to act as an identity provider and source of data in the digital format for their business partners. Major guidelines on these practices under the National
, financial institutions are ranked first in this category as they have invested in both relevant knowhow and personnel. Cyber risk management processes of financial institutions are, moreover, consistent with
failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as
. Personnel Expenses: the expense rose from 2,228.4 million baht to 2,468.2 million baht for the nine- month period. This was derived from a growing number of employees, especially flight crews which aligned
sales promotion activities for customers e.g. government sectors, employee’s costs e.g. annual bonus and employee salaries from the increase in the number of employees. Compare to Q4-2017 and Q4-2016, the