customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c) or (d) for the benefit of future transaction
, 2018 Government Land Appraisal Price : 28,605,000.00 Baht or 500,000.00 Baht/rai -Buyer: Miss Wantanee Worawiwat 59/4 Mu 1 Tambon Na Ta Khwan, Muang Rayong, Rayong Province. It is not a related party to
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific