(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 by allowing the use of his trading account and facilitating price
utilizing the inside information for selling IFEC shares since 1 November 2016 till 22 December 2016, totaling 978,000 shares, through his own trading account. 11/09/2019 The Civil Court delivered a decree
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement. Satang’s offence was resulted from