profit from insurance business by using client base and its current business. By using distribution channel of the Company and group of companies. 3. Opportunity for business by using Insure Tech Expected
: (a) securities borrowing payables, only in the portion not exceeding value of the collateral ; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
collective investment scheme to a client on condition that the units are in the announced list on the SEC Office’s website which were verified by the SEC Office under the Notification of the Office of the
collective investment scheme to a client on condition that the units are in the announced list on the SEC Office’s website which were verified by the SEC Office under the Notification of the Office of the
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and