the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
assets, accounting policy on expenditure forecasting of place renovation after using finish property, plant and equipment and in case of using value assessment as revaluation, it shall identify rules of
after using finish property, plant and equipment and in case of using value assessment as revaluation, it shall identify rules of assets appraisal. 3.11 Intangible assets It shall disclose a valuation
, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate, complete and updated records of assets of clients. In case of making