, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
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
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
Derivatives Intermediaries dated 6 September 2013. 2 Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
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
securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account
suspension) ? advising a client to divide his money into multiple less than two-million baht deposit transactions to a bank account of the securities company where the client had a trading account to evade the
Bangkok, November 24, 2009 ? The SEC revoked approval of one investor contact for 10 years on account of dishonest acts, defrauding and interference with a client?s assets, and suspended another for
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the