authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. The acts of
in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. 09/11/2017 agreed to comply with civil penalties determined by the Civil
high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. 09/11/2017 agreed to comply with civil penalties determined by the Civil Penalty
believing that TAPAC shares were traded in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. 09/11/2017 agreed to comply with civil
against the US dollar and Euro in the period, which resulted in THB sales declining by Bt111 million (Table 1). The drop in revenue in 1Q19 was mainly pressured by a decrease in sales volume by 1% Q-o-Q and
practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing
within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable to employees of the securities company