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
cars stood at 1.35% of average loan for 1Q19. Allowance for doubtful accounts and allowance for troubled debt restructuring amounted to Baht 10,919 million with outstanding Baht 4,500 million in general
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
: 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 Commission hereby issues the
different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual fund (RMF) to a client; she recommended that
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading