by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
normal course of gold future brokerage with benefits from trading fees by soliciting the public to invest in gold futures, providing investment information and calculation methods for returns, and
% yoy. Financial advisory and underwriting fees totaled Baht 107 million, increasing from Baht 19 million in 2Q16. Meanwhile, brokerage income totaled Baht 325 million, decreasing by 24.9% yoy from the
million or 52.4% yoy from Baht 84 million during 3Q16 due to the growth in Asset under Management. Brokerage income totaled Baht 422 million, increasing slightly by 1.0% yoy. Financial advisory and
under the law on life insurance or a financial institution established under other laws, as follows: (1) a securities company in the category of securities brokerage, securities dealing or securities
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the