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
remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the
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
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
keeps records of lending of money to a client for purchasing securities and lending of securities to a client for making a short sale; 4“initial margin rate” means a minimum rate of money to be paid or