such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their
as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to
-Galoc oil field, which was deemed unsuitable for further commercial development, led to a realization of impairment loss of the exploration and evaluation expenditure in the amount of USD 39.99 million or
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive under the regulations of the Stock Exchange of Thailand; (8) Being accused or
characteristics or become unsuitable to operate the outsourced function in accordance with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification. Clause 5 This