investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among
derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments
of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
(quarter 1/2018), the Company has total revenues at Baht 106.28 million which increased compared to the same quarter of prior year by Baht 15.72 million or equivalent to 17.36%, generated by the previous
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at