. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These
another extension to 20 July 2022. However, the CMSB did not grant another deadline extension as requested, taking into account the facts that, from the CMSB first rectification order until the latest
according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
account the client preferred. In so doing, {E} did not contact nor inquire the client's demand directly even though it was possible to do so. Instead, she asked an employee who was not an approved
buying and selling such shares. Sippakorn helped to provide three trading accounts for submission of trading orders while Rinnapa allowed trading orders to be submitted through her account. Such
allows to take care of his/ her securities trading account. The investment consultants must perform with their securities companies? rules strictly and do not meddle with the client?s assets and trading
acquisition of GLOW which takes account for Baht 481 million. The gross profit of Independent Power Producer (IPP) increased mainly due to: • The gross profit of Sriracha Power Plant increased by Baht 14
reversal of losses on inventories devaluation (NRV) THB 1,635 million). And, due to the company recording impairment loss of major trade account receivable, that went into business rehabilitation under the
the decrease rate in profit was lower than the decrease rate in revenue due to the reversal of provision for doubtful account of the Q4-2016. - 3 - Operating results and ability to make a profit