securities have yet been covered by the securities companies? research reports. In addition, year-to-date amounts of securities trading accounts opened by new investors have increased significantly. As such
incentives to increase significantly. She admitted that she had made trading decision for the client without client's instruction.Also reported by Asia Plus Securities PLC, the SEC probed into {B} case and
price under or equal to the costs causing {A} to receive significantly higher amount of incentives. Trading securities on behalf of the client, failure to perform the duties with honesty by concealing the
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
2019 was THB 53.6 million, decreased 6.9% which amounting to THB 4 million due to the fact that online segment was closed in 2019 from market price had been declined significantly. Thus, revenue from
significantly. Resulting in the lower average income earned per person. Secondly, the intensity and complexity of cases in Trang comparing to the same period last year significantly reduced such as Dengue fever
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business