securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in
sentence of imprisonment for 1 year and a fine of 100,000 Baht. As the defendant had no prior criminal record involving imprisonment, the Court suspended the execution of the imprisonment sentence for a
February 2020 Notification of the postponement of the Extraordinary General Meeting of Shareholders No. 1/2020 4. POST 004/2020 dated 3 February 2020 Notification of the cancellation of the Record Date of
วันที ่ 25 กรกฎาคม 2562 เรื่อง แจ้งเปล่ียนแปลงวันประชุมวิสามัญผู้ถือหุ้น ครั้งท่ี 1/2562 และวันก าหนดรายชื่อผู้มีสิทธิเข้าร่วมประชุม (Record Date) เรียน กรรมการและผู้จัดการ ตลาดหลักทรัพย์แห่ง
trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record
} and {F}, the SEC suspended them for one month while publicly disclosed {G}'s inappropriate behavior with the record of her demerit for future reference if breach of duty is found. {C} case was the
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