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
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
Division 1; (b) the provisions relating to shareholders and protection as prescribed in Division 2; (c) the provisions relating to the management as prescribed in Division 3; (d) the provisions relating to
according to (a) the Labour Protection Act No. 7; and, (b) some adjustments for the employees benefit calculation. This Labour Protection Act increased the compensation for the employees who work with the
the Q3– 2024 such as the Project to enhance efficiency and expand government platform services to support compliance with the Personal Data Protection Act of the Office of the Personal Data Protection
related business (Section 22) Other related business Licensing / Registered Capital / Fees Business Conduct Securities Lending / Credit Balance (Section 102) Protection of Customer Assets (Section 98(3