an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company

, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the

should be treated well, in particular their financial wellness.  Currently, employee savings remain modest as many of them have no saving or save with a little money while facing problem with their level

, officer or employee of that exchange or center;            (6)  extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper

payment out of the fund to the employee in accordance with the rules and procedures provided in the fund’s articles and as prescribed by Section 23/1, and such payment shall be made in one lump sum

​ แนวทางการยื่นเอกสารเพื่อยกเว้นไม่ต้องรายงานการได้หุ้นจากโครงการร่วมลงทุนระหว่างนายจ้างและลูกจ้างของบริษัทจดทะเบียน (EJIP : employee joint investment program)   ​ แนวทางการยื่นแบบคําขออนุญาต และแบบ filing

Interest; CRA Responsibilities to the Investing Public, Rated Entities, Obligors, Underwriters, and Arrangers; Governance, Risk Management, and Employee Training; and Disclosure and Communication with Market

Y2018 + Increased / -Decreased / -Decreased Employee benefits expenses 874.70 (28.45) 841.15 (32.00) Fees and service expenses 166.36 20.13 166.30 20.12 Finance costs 31.54 0.40 31.54 0.40 Bad debt and