further legal proceedings. Anyone who may have been affected because of his unlicensed securities business operation should give their accounts for the ECD Police?s further investigation and procecution by
audit firms of the SEC-approved auditors to allow OAG officers to observe their overseas branches. This collaboration will give OAG officers an opportunity to exchange knowledge and experiences on audit
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in
or a 5% rise over previous quarter, as employer realizes the benefits that its employees will receive from diversifying investment policies. ?Provident funds with employee?s choice continually gain
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
units. At least, no persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall
for the year ended 31 December 2019 totaled THB 251.18 million, an increase of THB 113.37 million or 82.27% from last year. This was due to (1) Rise of the employee and executive expenses of THB 45.03
2,647.55 million. This year, the Company recognized sale not only from its low-rise housing projects but also from the Park Court condominium units. The company had number of bookings which would be able to