TIGER share underwriting process (for which the KTBST acted as the financial advisor and lead underwriter of the TIGER Initial Public Offering (IPO)**). They had invited new clients to open private fund
complaint lodged by a client on {B}'s actions. The report indicated that {B} sent trading orders through client's account without evidence of trading orders from clients, which caused damages to the client
investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
procurement of project site location and rendering of related services to clients who operate 17 solar power projects in Thailand, and (2) revenues from the sale of electricity from its own solar power project
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card
would be effective on April 1, 2019. However, the majority of MK customers were the first time home buyers who did not get any impact from this BoT measure. In addition, there was a sale from undeveloped