examination revealed that on 12 July 2023 (one business day), the aforementioned JMT selling orders originated from BBLAM’s trading account, executed through Citicorp Securities (Thailand) Limited. At the time
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
examination and law enforcement are carried out in a unified and tangible manner. Information held by the SEC may be utilized for enforcement under multiple laws. At the same time, information or unlawful
Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In
Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency
% respectively, while international business grew at 7.3% at constant FX. Q4’19 Revenue from sales were at THB 6,621 million (+4.6% YoY). - Fit Fast Firm project (OSP’s cost saving program) successfully delivered
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in