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

approved. 2. That the connected transaction regarding the appointment of Ms. Suchada Sodthibhapkul, Authorized Director, as an Executive Director of the Company for the period from November 2018 to October

the SEC Office; (2) Documents may be submitted and checked for accuracy and completeness until 15.00 hours; and (3) Appointment with the SEC Office for submitting an application must be made at least

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment