applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your
the disclosure of the information regarding the existence and the mining property rights over the two mines on 30 November 2018 had failed to include the complete information received from the company's
failed to verify the details of the debt prior to consolidating these sorts of debts in its liabilities and filing an application for a business rehabilitation process. Considering that the 11 directors
crisis at IFEC. He has also failed to carry out his duty for the benefit of IFEC and its shareholders. There have been many complaints against Mr. Suphanan, alleging that his behaviors have damaged both
point by the date, but should also cover the list of funds that have failed to do so, which means funds that never reached the trigger point or able to but after the determined schedule.The amendments
complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
securities in a client's account without evidence of the client's orders, causing damage to the client. Findings showed that the client had agreed for {B} to manage the client's account but he failed to inform
million baht of a client of Mr. Pattarawut Thunyajaroen with a view of selling investment units and failed to check whether there was any withdrawal request slip. In addition, she failed to follow up on
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for