ส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement) 23/01/2552 หนังสือเวียน ที่ กลต.ธ.(ว) 54/2549 เรื่อง การซักซ้อมความเข้าใจกรณีการแจ้งรายชื่อเจ้าของหลักทรัพย์กรณีที่มี
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23
and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
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