(UTCC), and a master’s degree in Business Administration (MIS), Saint Peter’s College, USA. Prior to this appointment, she was Director of the Intermediaries Policy Department

, and take any actions with, their assets, securities trading accounts and banking accounts might lead to misconduct opportunities. Should investors have reasons to doubt the operation of any investor

first quarter of year 2018 compared to the same period of prior year are as follows; The Group reported total revenues (excluded other revenues) at THB 168.2 million, decreased by THB 72.8 million or 30.2

the prior year are as follows; For the year 2018 the Group reported total revenues at THB 718.3 million, decreased by THB 108.4 million or 13.1% when compared to the prior year. It mainly decreased from

institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to

company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior

controls prior to requesting for approval from senior management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on

as stipulated in Division 2 of this Chapter. Such application shall be submitted to the SEC Office at least 30 days prior to the expiration of currently available approval period. 3 Clause 7 The

the prior year are as follows; For the year 2019 the Group reported total revenues at THB 790.5 million, increased by THB 72.2 million or 10.1% when compared to the prior year. It mainly increased from

first quarter of year 2019 compared to the same period of prior year are as follows; The Group reported total revenues (excluded other revenues) at THB 188.8 million, increased by THB 20.7 million or 12.3