(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and
Policy Office (FPO), the Bank of Thailand (BOT), and the Deposit Protection Agency (DPA), delivered lectures on finance, investment, deposit protection, and raised awareness against investment scams to
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
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
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