account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's
the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
สุทธิรวมของกองทุนรวม num(20,4) 17* เพศ M = Male (ชาย) F = Female (หญิง) เป็นตัวอักษร “ M ”, “ F ” เท่านั้น Char(1) 18 วันที่เกิด (ของบุคคล) Char(2) 19 เดือนที่เกิด (ของบุคคล) Char(2) 20 ปีที่เกิด (ของ
sales of fans decreased by 18.23 million baht because in the same period of the previous year, the company set a loss from the devaluation of goods in the amount of 9.95 million baht, recorded in male
of the Company) holds 0.01%) Establishment objectives: Preparations for Republic of Maldives investments Head office location: H. Orchidmaage' 1st Floor, Ameer Ahmed Magu, K. Male' 20095, Republic of
(1) • Method: Monte Carlo Simulation for 5,000 Scenarios • Data: Income, Mortality and Morbidity Rates, and Investment Returns (See the MALE data in the PAPER.) 11 Method and Data (2) • Data: Disease
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which