intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
the client. Over a year and a half, a number of orders were day trading and submitted almost every day in the speculative trading pattern by {A} who had determined the securities, amount and price. The
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
Bangkok, May 25, 2016 ? The SEC will hold a public seminar titled, ?FinTech Forum: FinTech Data Analytics? to capture the growing financial business trends and technologies particularly in the area
securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of
service personnel by a major client, due to COVID 19, and is expected to recover in the near future. This client has recently listed our company in their formal vendor registry, plus we have added new major
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign