securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

Mr.Boonchoke Thiratarakorn . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of

Mr. Booncherd Santudpanich . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of

Mr. Suwit Jiraphongtrakul . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of

Mrs. Wanna Sittisirinukul . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of

Mr. Preyatada Buranaworakhun . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty