Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992). “client’s asset” means an asset deemed to be owned by a client as
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
the client. Over a year and a half, a number of orders were day trading and submitted almost every day in the speculative trading pattern by {A} who had determined the securities, amount and price. The
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
securities with a securities 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
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
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who