company. {E} also misled investors into believing that she was a representative or marketing officer for such foreign company. Using clients accounts to trade securities for other persons or sending trading
achieve sustainable growth and returns while maintaining our long-term market leadership. Guided by our core strategies of “Customers’ Life Platform of Choice” along with “Customer Centricity”, KBank has
surveillance. As a result, the Thai BDC is expected to increase its role in market surveillance and to develop the electronic trading platform to accommodate the Thai debt instrument marketûs future growth https
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
แบบรายงานการซื้อและขายหน่วยลงทุนภายใต้การจัดการของตนเอง ตามข้อ 12(1) ของประกาศ Prop Trade
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to
become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long