could not record revenue for procurement and fabrication service which not yet deliver to the client. As IFRS 15 state that revenue can be recognized when customer obtains control of that good or service

, 2021 Market risk: identified changing customer behaviour towards low-carbon products, and reduced demand for higher carbon products and services. Reputation risk: identified growing expectation from

trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor

สินทรัพย์ดิจิทัล มีระบบงานที่รองรับการรวบรวมและประเมินข้อมูลของลูกค้า (Know Your Customer / Customer Due Diligence) (KYC/CDD) ไม่เหมาะสมและเพียงพอให้ Satang ประกอบธุรกิจเป็นไปตามกฎหมาย กฎเกณฑ์ และมาตรฐานการ

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for Know Your Customer and

 {A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

found to have made trading decisions for one of his clients without any evidence of the client?s orders or his giving of investment advice. Similarly, Weeraparn was found to have made decisions to send

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case