Thailand shall be for the following activities only: (1) accepting the application for opening investments account and reviewing evidentiary documentation attached to the application before delivering them
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
through its representative office. Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
Securities and Exchange Act B.E. 2535 (1992) 8 Clause 9 An appointment of a person as an agent in the Kingdom of Thailand shall be for the following activities only: (1) accepting the application for opening
from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account from a person who was not the owner of the account without any written authorization
specified in the notification of the Office. SECTION 137. In accepting assets into custody, the custodian shall segregate the deposited assets from its own assets, and shall deal with the deposited assets in
Inappropriate client acceptance assessments which resulted in the audit firms accepting engagements with risks that went beyond an acceptable levels; Lack of documentation on the background search of potential