ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกการรับคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าของลูกค้าให้ครบถ้วนในปริมาณการซื้อขายที่สูง และ {ข} จัดทำเอกสารหลักฐานการรับคำสั่งซื้อขาย
ตลาดหลักทรัพย์แห่งประเทศไทยให้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุน และกรณี {ข} และ {ค} ก.ล.ต. ได้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุนตามปกติ (routine inspection) ซึ่งจากการตรวจสอบพบว่า ผู้แนะนำการลงทุนทั้ง
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
internal resources and financing through our routine funding sources. At this stage, the Bank does not expect to raise equity specifically for the purpose of funding this Transaction. 5. Transaction
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
{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
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