customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “maintenance margin” means the minimum amount of assets to be maintained by a customer as long as the
including the procurement of project land site and rendering of related services to the group customer, with 17 operating solar power projects in Thailand, and (2) revenue from the sale of electricity from
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities