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

, e.g., exposure to high default risk, low return rate, unclear usage of funds, and non- transparent approval of transaction.  The purchase of DEVA shares, a company with unstable financial status, and JJ

/>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

statement as of June 30, 2017 and the Company’s unstable profitability and unfavorable of steel industry which caused the Company might not be able to receive source of funds from other financial institutes

on its current financial statement as of June 30, 2017 and the Company’s unstable profitability and unfavorable of steel industry which caused the Company might not be able to receive source of funds

18.90% increased, while sale revenue only increase by 11.06% results in less profit margin compare to the year 2017 at 24.25 million baht, due to the unstable of production cost of new production line

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