bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the

May 2559 Mr. Nattawut, in collaboration with Mr. Winai, purchased TFG’s share by using inside information concerning TFG’s operating results for the first quarter of 2559, which indicated a substantial

effectiveness as the one suggested by SEC.The process of KYC is an initial procedure that every business operators in the capital market need to perform in order to onboard customers in accordance with the

least three quarters of total voting rights less interested shareholders to be approved. Accordingly, the SEC suggested ADAM shareholders carefully study relevant information, exercise their rights to

and found noise trading risks in trading of securities on the SET. The finding suggested that non-fundamental factors highly influenced the SET Index; trading volumes, for instance. Whilst, the market

information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded

submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most

} 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