services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract
Ratchanee, and Krisda, using the information that Apichart obtained from acting as a chief legal counsel for the client in acquiring KARAT?s shares from its major shareholder and launching a tender offer to
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant