securities purchased for herself. She admitted to the client in the said conversation that she sold the client's securities. Using the client's account for her own securities trading and illegal use of the
documents and conducted client due diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
) The parties involved Buyer: Telemax Asia Corporation, a subsidiary of which its 100% of shares held by the Company Seller: A.E.I Export and Import Company 3) The information of Assets Detail Investment
company on February 28th, 2018 which valued 491 Million Baht the buyer negotiates with the company for a price reduction because there is 25 % of green fields on Industrial Estate North Bangpu which cannot
company as at November 30, 2017. Basis used in Value Measurement Considering by accounting valuation of the subsidiary company on February 28th, 2018 which valued Baht 491 Million the buyer negotiates with