derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives
Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr
for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr./Mrs
explained to the customer, Mr./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1
interesting growth direction of business. In the 1 st quarter of 2017, the Company enabled to sell the beverage dispenser (Celli counter beverage dispenser) to a client in CLMV. The Company also organized the
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the