misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
and admitted having used a client?s inactive trading account with outstanding credit balance to trade securities. In doing so, she told the client that she had sent incorrect trading orders
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
analyzed key indicators of foreign and domestic financial market as well as financial position and trading data of securities and asset management firms. So far, there have been no significant issues of
well as the consolidation of our Nguyen Kim business in Vietnam. Overall SSSG in hardline segment decreased, primarily due to declines in overall customer spending in Thailand, particularly product in
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
growth of 163% YoY and 41% QoQ. This was attributed to the full quarter consolidation of TTTBB's revenue, as well as organic expansion of new subscribers with value packages leveraging on the expanded
ต้องสอบผ่าน ตามเกณฑ์ท่ีก่าหนด 3. การทบทวนแบบประเมิน suitability test - หากลูกค้า inactive ในรอบ 2 ปีที่ผ่านมา ขอไม่จัดส่งเอกสารแจ้งลูกค้า แต่ใช้วิธี lock บัญชีของลูกค้า ใหไ้ม่สามารถท่าธุรกรรมต่อไปได้ โดย