found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and
report of Country Group Securities PCL, the SEC probed into the case and found that {A}, a securities investment consultant and the executive vice president of the branch, traded securities on behalf of
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded
KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and
Expenses 1,045.9 965.5 1,180.1 80.4 8.3% (134.2) (11.4)% Profit (Loss) 35.5 61.8 69.1 (26.3) (42.6)% (33.6) (48.6)% In Q4-2018, the total revenue increased slightly from Q3-2018. It found that the total
unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following
found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following particulars: (1