transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s trading account into her mother?s account for her own benefits. Such share transfer was prearranged
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange