)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

ปัจจุบันกระบวนการให้บริการลูกค้าของผู้ประกอบธุรกิจมีขั้นตอนการทำความรู้จักลูกค้า (Know Your Customer: KYC) และการตรวจสอบเพื่อทราบข้อเท็จจริงเกี่ยวกับลูกค้า (Customer Due Diligence: CDD) เพื่อให้

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day

without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

securities borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. Clause

. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. 19 Clause 10/1. In applying for license, if the

borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. 19Clause 10/1. In