under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
year, at least Level 1 assessment results are expected for all listed companies, indicating intent to comply with all relevant laws and regulations with ability to communicate with all stakeholders. For
course of business and charging fees. Also, there was no evidence indicating that purchase or sale orders were routed through any digital asset exchange. Instead, such activities were conducted outside any
disclose to the company and person appointed by the company the information as to whether I have any characteristics indicating untrustworthiness as specified in the Notification of the Securities and
Facebook account, demonstrating an intention to provide services to customers in public. In this regard, there was no evidence indicating that purchase or sale orders were routed through any digital asset
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry
amounted at 182.58 million baht, an increased compared to 1H18 which amounted at 137.93 million baht a total increase of 44.65 million indicating a 32.37% increase in revenue. The main reason for the
/executive, I would like to request for inspecting my qualification whether I have any characteristics indicating untrustworthiness as specified in the Notification of the Securities and Exchange Commission No
Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to