check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
, the Company has completed the investment disposal processes with the following details. 1. Transaction Date: April 27, 2018 2. Parties Involved: Buyer; SBI FINANCIAL SERVICES CO., LTD. Seller; the
: Buyer: Banyan Tree Services (China) Pte Ltd (“BTSC”) Seller: Banyan Tree Gallery (Singapore) Pte Ltd. (“BTGS”) Relationship between buyer and seller: Banyan Tree Holdings Limited (“BTH”) is a major
capital. Transactions details are described as follow : 1) Date of transaction occurs: 28 February 2019 2) The parties involved : Buyer Excellent Rubber Co., Ltd. [ERC] Buyer Advantage Footwear Co.,Ltd