fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________
, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR; (2) In the case where a local securities company has a foreign securities company as a client, the
client, the local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior
decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; ขึ้ · require the Ethics Partner to carry out appropriate investigations, where the
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23