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
“Terms and Conditions of MACO-W2”), the condition of the adjustment of rights under the MACO-W2 states that the Company shall adjust the exercise price and/or the exercise ratio to purchase the Company’s
adjust the repayment terms (value of 550 million baht); - Negotiation and execution of a loan agreement amendment with unrelated parties on 9 June 2025 to extend the repayment period
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
Thailand is behind other countries in South East Asian. In 2018, retail industry growth only at 3.9% per annual. The Company engages in retail rental space for retailer more than 1,500 client and operate 3
. 4/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis) 04/01/2000 01/04/2000 2. Notification of the Office of the Securities and Exchange Commission 7