orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
, being well aware that prevention of those scams needs collective efforts of all relevant parties, has called for collaboration of business operators, i.e., securities companies, investment management
more than the period of approval; (3) in case the demeanor, being within the scope of prohibited characteristics in Group 3 under Clause 31, is not severe or has occurred for more than 10 years up to the
case of suspension order for a period not more than the period of approval; (3) in case the demeanor, being within the scope of prohibited characteristics in Group 3 under Clause 31, is not severe or has
life as well as avoid falling victim to financial frauds and scams, would contribute to the overall financial well-being of the Thai people and the solution to the country’s household debt problems in
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution
the clients as well; (9) “financial institution” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business 1 ; 1
well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial