receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make
making a cash payment and transferring money to a personal account of the serving investment consultant. Investors should make payments via payment channels and methods specified by the service provider
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorDor. 30/2540 Re
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of