company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign
creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing and encumbrance for return asset which the company hold as a
business affected to the third person, namely net balance account of creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
investment unit sellers to assess risk tolerance of each client and and give investment advice suitable for the client ' s risk appetite. Any client wishing to invest in a mutual fund which bears higher risks
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client