by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become

for the client in acquiring KARAT?s shares from its major shareholder and launching a tender offer to delist KARAT from the Stock Exchange of Thailand (SET), before the information was disclosed to the

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in

via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those

} 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

trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives

. The client, however, did not reject the transactions. Furthermore, most of internet trading orders were submitted via IP Address of KTB Securities.Panadda, in addition, admitted that she was responsible

Company and its subsidiaries was 492 million Baht. This amount, included by the gain on sale of investment in JASIF, amounting 1,732 million Baht (calculated based on equity method; whereas, the gain on

based on equity method), the record of the total operating profit for the second quarter of the year 2018 was; thus, of 4,242 million Baht. This amount deducted by - FX loss of 445 million Baht; - an