routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
fit (Loss) Ne r 2017 was ht or 6.02 % rease in cos 2018 8 cation on Fi tary of the S clarifies cau ame quarte g performan Sales for Q2 baht, respe baht or 16.0 uantity of e or Q2 year 2 espectively
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but
failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
-686-6100 บลจ.กสกิรไทย กองส าเร็จรูป ("K-Fit") = = 500 500 "K-My Funds" app 02-673-3888 บลจ.อสีทส์ปรงิ (ประเทศไทย) = = ตามเงือ่นไขของแตล่ะ กองทุน (มกีอง 1 บาท) ตามเงือ่นไขของ แตล่ะกองทุน "FundLink Online
ทรัพย์ประเภทอื่น (activate license) อย่างไรก็ตาม การจะได้รับอนุญาตหรือไม่เป็นดุลพินิจของสำนักงานในการพิจารณาตามเกณฑ์ fit&proper ด้วย หมายเหตุ : (ปรับปรุงข้อมูลล่าสุด 21