person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
should not approve the proposed transaction due to limited information and uncertainty in material information. CWT has been in a municipality?s process of proposal submission for operating the waste
derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel
มูลค่าการซื้อขายปรับตัวสูงขึ้นอย่างต่อเนื่อง ก.ล.ต. จึงได้หารือร่วมกับสมาคมฯ และได้ข้อสรุปให้บริษัทหลักทรัพย์ (บล.) เข้มงวดและระมัดระวังในการทำความรู้จักลูกค้า (Know-Your-Customer / Customer Due Diligence
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
statement of equity change of the shareholders, and the annual cash flow statement 2015 due to inefficient internal control system with regard to the cost of sales and the inventory of 2014 and insufficient
documents and conducted client due diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of
แบบประเมินตนเองก่อนตัดสินใจลงทุนในตราสารหรือธุรกรรมทางการเงินที่มีความซับซ้อน (due diligence checklist) สำหรับบริษัทหลักทรัพย์จัดการกองทุน (บลจ.) เพื่อยกระดับมาตรฐานการประกอบธุรกิจจัดการลงทุนให้เป็นสากล
; mainly due to the sales to those local customers. In addition, the 2008 financial statements submitted to the SEC on February 28, 2009 showed a net operating loss of 944.7 million baht. In this connection
Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore has suspended Theera for six months. Due to his approval status