negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

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

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

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

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

, increased from Baht 341.3 million in the same period of the year 2016 or increased by 23.1 percent due to the same store sales of the company increased by 21.2 percent. The Company’s net profit was increased

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance