securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
Climate Finance & Green Tokenization Seminar. She gave a presentation on the topic, “Climate Finance and Green Tokenization,” sharing insights and perspectives on promoting digital asset regulation among
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
of Thailand’s Capital Market”Research Direction: “Sustainable Investing in Thailand: Patterns and Preferences”Research Presentation and Discussion: “Assessing the Impact of One Report Regulation on
presentation formats and clear presentation measures regarding warning on investment risks. The proposed amendment requires ICO portals and ICO issuers to put in place appropriate warning statements under the
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts