bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the
May 2559 Mr. Nattawut, in collaboration with Mr. Winai, purchased TFG’s share by using inside information concerning TFG’s operating results for the first quarter of 2559, which indicated a substantial
, which considered that such operation did not reach the standards as a professional required to perform, and failed to deliver services in quality. DAB Act S.94 in conjunction with 30 Settlement
issuer and bondholders with respect to repayment under such subordinated bonds are clearly specified and the subordinate conditions shall be indicated especially on the following events: 6 (1) the issuer
information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded
submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the