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

/>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

2 assets, and the remaining 6 assets are in the divestment process. This year, we are still passionate about people development, which will be done through various training and promote a collaborative

will soon be disrupted faster, hence the Company needs to be agile. We are passionate about people development through training, workshop and culture reform. We promote a collaborative and innovative

รดงักล่าวอาจจะบรรเทาลงหากกิจการ สามารถระดมทุนจากผูล้งทุนในอีกประเภทหน่ึงซ่ึงมีความมัน่คงพอสมควรในดา้นสถานะทางการเงิน และมี ธรรมชาติท่ีพร้อมในการสนับสนุนทุนแก่กิจการเหล่านั้น (passionate risk taker

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

-face meeting) with staff of the 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