orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate

, convenient and complete processes to accommodate customer business operations. - K-Contact Center: Focus has been on service quality enhancement through procedural improvement in three major areas, i.e., 1

” means an affiliated company as prescribed by the Notification of the Capital Market Supervisory Board concerning Outsourcing Operational Function relating to Business Operation to a Third Party; “member

Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the

relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for

, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for other persons or for the benefit of the

responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function

(CMDF) as a center to promote market development: The development function shall be separated from the exchange function to increase efficiency of the SET operation.(6) Enhancing effectiveness

/> หากนายทะเบียนหลักทรัพย์ที่ได้รับใบอนุญาต ประสงค์จะ outsource งานบาง function โดยการดำเนินการของผู้รับ outsource ไม่เสมือนเป็นการให้บริการเป็นนายทะเบียนหลักทรัพย์เอง (เช่น เพียงจัดทำระบบ IT ให้นาย