decreased 1,360,678 baht compared to the same period of the last year mainly from the decrease of personnel costs such as incentive and bonus. 4. Administration expenses increased 1,277,144 baht compared to
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as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and
received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties
prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on
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severity and any delays in resolving them would reflect poorly on the ability of firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of their TSQC1 element
providing incentive gifts, rights or other benefits to a client in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the
of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “sale promotion” means providing incentive gifts, rights or other benefits to a client in
of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “sale promotion” means providing incentive gifts, rights or other benefits to a client in