firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/EN/Documents/Auditor/ethical.doc

the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor/QAQR-03.xlsx

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

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

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 represent entitlement in

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 represent entitlement in assets held by a