intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
client, client suitability, information disclosure, and clear and fair contract rules are all required. This is to assure that all derivatives fund managers will have the same minimum standards in
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
Microsoft Word - AIA-GCA Annual report 300921.docx กองทุนเปด เอไอเอ โกลบอล คอนเวนชั่นนอล อโลเคช่ัน ฟนด AIA Global Conventional Allocation Fund รายงานประจําป 2564 (รอบระยะเวลาตั้งแตวันที่ 1
.) Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in the normal course of securities business, thus violating the Regulations of the Stock Exchange of
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading
latter to use her authorized trader ID to access the trading system for the purpose of canceling a client?s trading order as instructed by the client. However, the order had already been executed, so
., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and