director or executive positions end, as ordered by the SEC pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560*, as the case may be. In the event that any offender

executive positions, as ordered by the SEC pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560***, come to an end, as the case may be. In the event that any offender

obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course.    In this regard, the institutional clients

other person(s) or has other person(s) hold on his behalf. 6 In case of complex shareholding structure of the reporter or concert party in a juristic person under Section 258, for example multiple levels