partnership, Mark Gooding, His Majesty’s Ambassador to Thailand, said: “Financial services are a key driver of the modern economy. We are proud to take another step in our long-time partnership with SEC
within their markets. This strategic partnership provides a strong foundation to strengthen the bilateral cooperation between our two countries. We are confident that bringing together the expertise of
Ratthawuth Limited Partnership During July - October 2016, three former directors and executives of K.C. Property Public Company Limited (“KC”) and Modern Street Company Limited (“Modern Street
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
the client. Over a year and a half, a number of orders were day trading and submitted almost every day in the speculative trading pattern by {A} who had determined the securities, amount and price. 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
” 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