companies, investors then misled that they gain high returns at the first stage but not allowed to withdraw their profits. Later on, the companies will notify their clients to add more money due to investment

(SBL) transaction and collateral placement for SBL transaction due to its nature of non-absolute transfer where the parties also agree on return of securities borrowed or  withdrawal of collateral

จะปรับปรุง เช่น ต้องมีจำนวนผู้ติดต่อกับผู้ลงทุนที่เพียงพอ ผู้ขายต้องแสดงตนชัดเจนกับผู้ลงทุน เช่น การติดบัตร ผู้ขายต้องมีความรู้อย่างแท้จริงเกี่ยวกับสินค้าที่ตนเองแนะนำและขายให้แก่ผู้ลงทุน (product due

SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course.    In this regard, the institutional clients

หน่วยงานขายที่ติดต่อกับผู้ลงทุนอย่างชัดเจน เป็นผลให้กระบวนการตรวจสอบหรือสอบทานข้อมูล (due diligence) ไม่ดีพอ ซึ่งอาจทำให้การคัดเลือกผลิตภัณฑ์ไม่ตรงกับความต้องการและระดับความเสี่ยงที่ยอมรับได้ของผู้ลงทุ

today due to very good response of the first project from provincial businesses. Moreover, the SEC is fully aware of business operators? needs who are interested in capital market and how to raise fund by

due care, and aiding and abetting others in their illegal activities.  This includes facilitating investment consultants to trade securities by using client accounts and use non-financial institution

further probe revealed that she interfered with a client's asset by transferring cash into the client's account. {C} admitted that she had done so to take responsibility for the client's investment loss due

use the money for working capital. When the BF and ASC cheques were nearly due, they made false entries that TUCC made purchase orders of black steel from eight suppliers totaling 529,529,326 baht to

in performing the duty with due care and in good faith which includes preparation of the company?s financial statements and accounting documents in accordance with the accounting standards. The case