have the independent director review the work of the SKFM management from 2016 to 2018; and (4) neglecting the supervision of SKFM operation, causing deficiencies in many cases. For
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
must not appears that the derivatives broker being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
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