public email, e.g., twitter, facebook, as client? identity cannot be verified through these channels as client may give other his/her login name and password to send trading orders. In case client sends
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
with the civil sanctions as imposed by the CSC. In the event that an offender refuses to give consent to the sanctions, the SEC will submit the case in writing to the public prosecutor for filing a
% The Company and its subsidiaries had other income of Baht 741.35 million, a rise by Baht 375.49 million or 102.63% from the same period of last year. Most of the increase came from the interest income
in full. In considering an application, the Office shall have power to give a written notice calling a company to give an explanation or submit additional supporting documents within a period
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency, the intermediary shall comply with the following rules: (1) To provide
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
currency, the intermediary shall comply with the following rules: (1) To provide services within the scope of each type of license granted to the intermediary; (2) To arrange for clients to access the