services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c
/1146pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets
funds; (3) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit
) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a
committed an offense as https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8259 documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client
a company in a client’s trading account by asking the client to sell the shares and transfer the redemption money into her own deposit account. She claimed that she would use the money to invest in
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
. In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit of such client, the securities company shall record the name of the