) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
areas such as customer-asset custody and Know Your Customer (KYC) / Customer Due Diligence (CDD) criteria, etc. These efforts will keep an appropriate balance between development and supervision in the
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
นางสาว ชื่นกมล กองแก้ว ชื่อขณะกระทำผิด (น.ส. ชื่นกมล กองแก้ว) ผู้แนะนำการลงทุนด้านหลักทรัพย์ เสนอขายกองทุนรวมที่ไม่เหมาะสมกับข้อมูลผู้ลงทุน (customer profile) และไม่ได้อธิบายให้ผู้ลงทุนเข้าใจในกองทุน
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
connected to the internet when conducting transactions only (cold wallet) less than 90 percent of the customer's total digital asset value and did not deposit customers' digital assets with digital
a derivatives intermediary. “ client ” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary