According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units

, he was employed by the Kiatnakin Phatra Bank Public Company Limited. The Securities and Exchange Commission (SEC), with the inspection reports submitted by the Kiatnakin Phatra Bank PLC and the

{ก} ต่อไป ก.ล.ต. พบการกระทำผิดดังกล่าวจากการเข้าตรวจสอบบริษัทหลักทรัพย์ {หนึ่ง} จำกัด (มหาชน) ตามแผนงานตรวจสอบตามปกติ (routine inspection) โดยพบความบกพร่องในระบบงานการทำความรู้จักลูกค้าและตรวจสอบเพื่อ

decisions for investors. Following a referral from Maybank Kim Eng Securities (Thailand) Plc., the SEC?s further inspection has revealed that Panita, who was an employee of Maybank Kim Eng Securities

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded

types of securities to support strategic fund mobilization and accommodate new product launches; (4)   To divide intermediary supervisory units with separate focuses on development and inspection; (5

สิทธิอนุพันธ์ (Derivative Warrants : “DW”) ให้กับผู้ลงทุนเป็นจำนวนมาก สำนักงานจึงได้ตรวจสอบเกี่ยวกับการปฏิบัติงานดังกล่าวเป็นการเฉพาะเรื่อง (Theme Inspection) ในปี 2559 ซึ่งจากผลการตรวจสอบ