intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of
Kritsana and Campirada: The wrongdoers connived at forging the signature of a client on securities transfer forms to transfer securities of the client to trading accounts of two other clients of Kritsana
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign
investment unit sellers to assess risk tolerance of each client and and give investment advice suitable for the client ' s risk appetite. Any client wishing to invest in a mutual fund which bears higher risks
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities