deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned
qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible
program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising
or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration as organized by the SEC Office
Your Customer (KYC) and Customer Due Diligence (CDD) procedures in accordance with the standards set by the AMLO and other relevant authorities. These procedures apply to both DA business operators and e
Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due