securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed
Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc .. loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The
customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a
applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
to increase traffic of customer. Also, change the tenant mixed to suit with each location which has been well accepted by client. The Company cooperated with the Number 1 Operator in Thailand to push
investor contact for six months as from June 23, 2011. In case of Kruawan, the SEC received the report from United Securities Plc., on its investigation which was conducted upon complaint lodged by a client