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
consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD; (2) In the case of {B
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
trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
., manufacturing, property, and logistics. EBITDA expands in low-single digit growth AIS will continue to digitally transform by bringing new technologies to deliver distinctive customer experience and to optimize
operations to ensure distinctive customer experiences. Capital allocation will be executed with caution to ensure we streamline ourselves, improve CAPEX and OPEX efficiency, and deliver maximum value to our
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
not appear that the management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by