securities purchased for herself. She admitted to the client in the said conversation that she sold the client's securities. Using the client's account for her own securities trading and illegal use of the
documents and conducted client due diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
group. Financial Highlights 2Q 2017 2Q 2016 Change 6M 2017 6M 2016 Change THB million % Sales THB million % Sales THB million % THB Million % Sales THB million % Sales THB million % Revenue from Sales
2017 31 December 2016 Change Current assets 866.52 893.90 (27.38) Non-current assets 1,277.53 1,203.81 73.72 Total assets 2,144.05 2,097.71 46.34 Current liabilities 564.28 1,570.71 (1,006.43) Non
financial institutions. A summary of the key operational matters and events for the 2nd Quarter 2019 Financial Highlights 2Q 2019 2Q 2018 Change 6M 2019 6M 2018 Change THB million % Sales THB million % Sales