admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed. {A} also admitted
will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
be sufficient and timely. Independent credit rating without issuer client must be stated accordingly, and whether or not the issuer has contributed any information for the rating, in the CRA report to
institutional investors for the purpose of service provision by securities and derivatives business operators to include digital asset business operators. This is to ensure that services and client treatments are
securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of
into any transaction for a client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons
client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons ______________ Clause 6 The following
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
personnel in such units. However, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation