clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to-date, as well as
application and providing investment advice to clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner
investment advice to clients. The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
amount of 16.3 million baht The company has achieved the goal for profit margin improvement due to how the company expand the client base and distribute online and offline for client’s convenience and
million baht of a client of Mr. Pattarawut Thunyajaroen with a view of selling investment units and failed to check whether there was any withdrawal request slip. In addition, she failed to follow up on
of benefits from a client’s derivatives trading; (2) a person with the controlling power over a client’s derivatives trading; or (3) a financial supporter of a client for the benefit of trading or
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other