According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

qualifications of CIS to be offered to non-retail investor in Thailand, conditions relating to offer of CIS, duty of selling agent as well as procedure for filing of application for inspection on qualifications of