customer as well as maintain it up-to-date. In this regard, the list of derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25. Derivative
derivatives trading account shall contain at least the materials specified in the notification of the SEC Office. Clause 25.13 Derivative broker shall conduct customer due diligence for time to time and shall
care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for
filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
. Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of Clause 12
2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33