subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
specialists, such as finding or contacting buyers of the assets, preparing financial statements, and bringing legal action, etc. The relevant notifications** have become effective since 16 May 2024
contacting various investors and had been studying the details of investment proposals from investors for some time, but had not yet reached a conclusion on the matter. In fact, however, during that time, JKN
investment products that are suitable for them. Moreover, convenience will be provided to investors, such as contacting an oversea business operator and foreign currency exchange and transferring for the
communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting
impact. In contacting with foreign regulatory agencies, a intermediary is able to contact through its foreign counterparties or the SEC. Division 8 Companies shall test and assess the BCP (Training