into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
study the information carefully before making investment decisions. The responsible underwriter must hand out the factsheet and the subscription form at sale points while securities firms must conduct the
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ https://www.sec.or.th/TH/Pages/LawandRegulations/DigitalAssetBusinessRelatedForms-appendix1.aspx English (United States) DigitalAssetBusiness English
(United States) How We Regulate derivatives; The law governing digital asset ; The law on trust for transactions in the capital market; The law on special purpose juristic persons for securitization
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