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

) assets contributed by members; (2) assets procured as collateral for clearing and settlement of securities; (3) assets procured for protection of the trading, clearing and settlement of securities; (4

assets with high liquidity and low-price volatility which may be any of the following assets: (1) assets contributed by members; (2) assets procured as collateral for payment obligation; (3) assets

/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้

investment decision making. Regarding the custody of client assets, the SEC suggested that securities companies adopt tighter measures, especially for the custody of client assets in the long-time inactive

Group, the Company procured that S Hotels and Resorts (SC) Co. Ltd., a subsidiary of the Company with 100 percent of its equity held indirectly by the Company, place a deposit of USD 25 million to the

Management, a spare gear of similar specification was identified and procured from a foreign Company, which resulted in saving of 12 months of impaired operations. Similarly, actions were also underway for

under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is

securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (Unofficial Translation) - 8 - (5) significant