investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

insurance: in-patient (IPD) and out-patient (OPD) with annual premium not over 50,000 Baht (excluding vat) per director. The nomination and remuneration committee has duly reviewed this proposal. Agenda 6 To

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

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

Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc .. loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The

customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a

approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the

to increase traffic of customer. Also, change the tenant mixed to suit with each location which has been well accepted by client. The Company cooperated with the Number 1 Operator in Thailand to push

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her