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
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
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
A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
customer group continuously. Include activities to promote and educate cleaners and disinfectants to target customers in order to realize the importance and improve the quality of goods and services as well
) moreover for the Manufacturing and Export sector have also effect from customer has postpone the purchase order and delivery. For the year Filter Vision Public Company Limited (Hereinafter called “The
year from Coronavirus disease (COVID-19) moreover for the Manufacturing and Export sector have also effect from customer has postpone the purchase order and delivery. For the year 2020 Filter Vision