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

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

/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้

tons per year, 0.5 million tons of which was recycled, leaving the unrecycled waste of 1.5 million tons mainly because it had not been sorted at the source. This was considered as loss of opportunity

and the slowdown of consumption. The sales of the Company in 2016 decreased by 70 million Baht compared to the previous year. It can be sorted based on product category as follows; 1. Automotive Revenue

about transactions between the mutual fund and related persons; (8) risk factors of the mutual fund, including risks from asset utilization of the mutual fund and risk management measures, sorted in

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