complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
securities in a client's account without evidence of the client's orders, causing damage to the client. Findings showed that the client had agreed for {B} to manage the client's account but he failed to inform
million baht of a client of Mr. Pattarawut Thunyajaroen with a view of selling investment units and failed to check whether there was any withdrawal request slip. In addition, she failed to follow up on
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
not failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________
record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such material
Binance failed to submit a response within the specified time. The aforementioned activities of Binance is liable to operating digital asset business in the category of digital asset exchange https