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
Women director on board % 18 18 18 Gender employee diversity (women) % 61 60 59 Promote Digital Inclusion 1 2 3 4 5 6 7 Digital Innovation Cybersecurity and Customer Privacy Protection Human Resource
, theft, or loss Number of cases 0 0 0 Independent Director % 36 36 36 Women director on board % 18 18 18 Gender employee diversity (women) % 61 60 59 Promote Digital Inclusion 1 2 3 4 5 6 7 Digital
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