securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client
เกี่ยวข้องกับคอร์รัปชัน (Anti-corruption Progress Indicator) ของบริษัทจดทะเบียนทั้งหมดในช่วงไตรมาส 3 ของปีนี้ ก.ล.ต. จะเปิดเผยดัชนีเดียวกันนี้ของ บล. และ บลจ. ทุกแห่ง ตั้งแต่ปี 2558 เป็นต้นไป เพื่อแสดงความคืบ
security as prescribed in the UNCITRAL Model Law and the World Bank’s Good Governance Guidelines, to support ease of getting credit (the 5th Indicator of the World Bank’s Doing Business Survey), to provide
ก.ล.ต. สนับสนุนสถาบันไทยพัฒน์ เผยผลตัวชี้วัดการประเมินความคืบหน้าในเรื่องการป้องกันการมีส่วนเกี่ยวข้องกับคอร์รัปชัน สำหรับบริษัทจดทะเบียน ไทย (Anti-corruption Progress Indicator) พบร้อยละ 60 ของ
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re