derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
funding portal operation and suitability test in order to mitigate fraud risks and ensure that investors will be informed of risks associated with investment in SMEs, in particular startups, and liquidity
} did not confirm the exact securities volumes and prices with his client. In addition, he sometimes sent trading orders and informed the client afterwards that the client has never objected or rejected
Dr. Boon Vanasin (M.D.) During July 12 – August 4, 2021, Dr. Boon Vanasin (M.D.), chairman of the board of directors of Thonburi Healthcare Group Public Company Limited (THG) had informed or
adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; Part 3 Subject Matters of this Notification Clause 4 This Notification
rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the
include such money in the net balance of the working day on which it is informed of the client’s intention for the calculation of assets required to be segregated as assets of clients under the first
money under (b) (c) or (d) for the purpose of making transactions in the future, the securities company shall include such money in the net balance of the working day on which it is informed of the