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
@sec.or.th 28 แผนภำพที่ 1 : แสดงกำรเก็บ application log (ขยำยควำม FAQ ข้อ 9.11) ตำรำงท่ี 1 : ตัวอย่ำงกำรเก็บ application log (ขยำยควำม FAQ ข้อ 9.11) Client Mobile PC (home/office) Internet cafe Internet (ISP
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
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
capital increase shares shall be based on the market price of such shares deducted by the subscription price and multiplied by number of shares which the client will obtain according to the rights; (2) 36
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
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
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