accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
Consolidated net loss for the period (Q1) amount -4.57 million compare with the same period (Q1) for the last year amount -2.80 because the Company Cost of Market Development of Expanding the customer base and
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD), and (7) providing suitability test for retail investors. The SEC also seeks public comments on shelf filing whereby a series of fundraising
deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible
program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising