the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position
maturity of such instrument shall not exceed one year and shall not have any restriction on selling or transferring before maturity; 4. investing in bill of exchange or promissory note that ordered payment
other payables, mainly the not-yet-due payables for raw materials and packaging ordered from various distributors for use in production of a large volume of products to meet the increased orders from
the return shall not be relied on any other underlying, the applicant shall comply with only this Notification; (2) the offering of structured notes in other manners than (1) can only be done by the
structured notes" means structured notes with a maturity date of not exceeding 270 days from the issuance date of such structured notes. "company" means: (1) a private limited company or public limited company
prepared under Section 56 or Section 57 or Section 199 in conjunction with Section 56 or Section 57 as ordered by the SEC Office or the Stock Exchange, as the case may be; (d) the applicant shall not have an