, 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
cases: (1) appointment of infrastructure fund’s personnel as follows: (a) infrastructure fund manager who perform duty of making investment decision or divesting of infrastructure asset of infrastructure
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
to respond to the new outbreak as follows: After You implemented policy according to plan in respond to the COVID-19 outbreak including: 1. Effective cost control: controls employee-related expenses
investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
Company’s employee benefits expenses in 1Q2018 were Baht 293 million, an increase of 15% from 1Q2017, mainly from an increase in personnel expenses which are related to the increase in the Company’s revenue
decrease of 15 percent compared to the third quarter of the previous year. The majority of the Company’s expenses came from employee benefits expenses, fee and service expenses, and interest expenses, as
opportunity to thank everyone. Going forwards, the SEC remains committed to strengthening the Thai capital market towards sustainable growth. This will be with keen concern for economic, social, and
promoting market conduct as an organizational culture; (2) product development that is suitable for customers and sales staff abilities, as well as sales channels, operational systems and control; (3