maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may

proper qualifications for business undertakings, in terms of operational systems and personnel, i.e., the absence of fund managers for continuous client support even though there were trading transactions

client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing

. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand

ที่สอง (1 มกราคม 2556 - 31 ธันวาคม 2558) พบว่าทุกแห่งผ่านการตรวจสอบคุณภาพ โดยได้คะแนนเฉลี่ยสูงสุดด้านการตอบรับงานและการคงไว้ซึ่งความสัมพันธ์กับลูกค้า (Client acceptance and continuance: A&C) เนื่องจาก

investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard

investment limit, the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard

in 2018 to Baht 151 million in 2019. This is due to the operating cost of Baht 14 million in Unimit Engineering Myanmar and a provision for doubtful debt on a client of Baht 17 million. Profit / (Loss

of the client, not ready to install and some customers postpone the plan or delay the investment - Cost of goods sold decreased from Baht 324.85 million in the year of 2017 to Baht 319.67 million in

, and the non–audit service fee received or accepted from each client thereof (on the accrual basis) for the year ending (the last day of the pervious accounting period