undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities
the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities company. In case the client
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
following matters: (1) risks arising from change of value of securities or collateral which may cause the client to suffer loss or be required to deposit more collateral; (2) actions to be taken by the
shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is
every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information