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

the theme ?The successful world at your backyard?, the SEC booth aims to promote that saving and investment are not as something distant but relevant to everyday life. As such, everyone should start to

(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

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

) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are

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