Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
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
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
in any derivatives business only with institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the
summarized below: (1) Allowing funding portals to register as a bondholders’ representative, limited to the bonds issued through their platform, to support the issuance of secured bonds via
the register of persons qualified to be fund manager. Clause 5. In addition to having qualifications under Clause 4, the applicant shall not have any prohibited characteristics as specified in the
listed in the register of persons qualified to be fund manager. Clause 5. In addition to having qualifications under Clause 4, the applicant shall not have any prohibited characteristics as specified in