trading platforms. This is because behaviors that constitute soliciting individuals in Thailand are more clearly defined, such as offering payment options in Thai Baht to investors, accepting payments
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
pays the application fee and submits the payment evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1F into the process of granting approval. 1 day Accounting Supervision