employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering securities trading service for such account
trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1
. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
trading account into her mother?s account for her own benefits. Such share transfer was prearranged, starting from Auracha?s opening a trading account for her mother without declaring their relationship to
/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest
Business (No.7) dated 30 August 2017 (effective on 1 October 2017). 1 Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956), which means doing any act in order
) Act and Royal Enactment ( 18 ) About SEC ( 8 ) Enforcement ( 4 ) Intermediaries ( 4 ) Market Data ( 4 ) Market Professionals ( 4 ) Strategic Plan ( 4 ) investor ( 1 ) More >> Documents Adobe PDF ( 628