such juristic person or the non-juristic group of persons assume the responsibility to the completeness and accuracy of the information in the case where such juristic person or the non-juristic group of

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

person in and out of the unit responsible for custody the private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System

. Clause 2. In this notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is

notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is authorized by the board of

Personnel in the Capital Market Business dated 3 June 2014, and were thus suspended as securities investment consultant.  The person in (2) was in contravention of Clause 31(1) and Clause 33(3) of the

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

group of persons assume the responsibility to the completeness and accuracy of the information in the case where such juristic person or the non-juristic group of persons has the duty to submit

The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client

barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai