notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example: - The operation system shall have in place a client
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมคณะผู้บริหาร ให้การต้อนรับ Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute
transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s trading account into her mother?s account for her own benefits. Such share transfer was prearranged
policies and procedures and reference materials which include materials related to the client it serves? If yes, Please describe the policies and procedures. How does the firm ensure that all audit staffs
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
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