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
submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on
Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in
charitable donation to the Thai Red Cross Society’s project to support the purchase of medical equipment and assisting patients with acute ischemic stroke, at the DBD Building on 16 January 2024.In the
the assessment process to evaluate the qualifications of the applicants seeking licenses to operate digital asset businesses. If an applicant is qualified, SEC will propose Minister of Finance to
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
sale of Eastern Cuisine does not meet the target. However, the company had engaged a financial advisor, who is not recognized by the SEC Office, to evaluate
with the support of the regulators in ASEAN. Its goal is to evaluate the corporate governance of six ASEAN nations: Indonesia, Malaysia, the Philippines, Singapore, Thailand, and Vietnam. Every other