.;    (2)  Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that

securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in

prescribed rules. In this regard, Zipmex clients may contact the company’s customer service center** or make inquiries at the SEC Public Service Center via hotline 1207 press 8, or email: info@sec.or.th, or

with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account

) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account

advice for clients. Clause 13/16 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business operator shall proceed as follows

advice for clients. Clause 13/16 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business operator shall proceed as follows