transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility

(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients

) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but

failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC