broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
deposit slip with the name of another client who was related to himself. The transferred money then paid for the related client?s trading transactions, subscriptions for on-the-counter securities, and
ดังกล่าวและเห็นสัญญาณของการปรับตัวของผู้ประกอบธุรกิจในตลาดทุนโดยเฉพาะ อย่างยิ่งการปรับเปลี่ยนวิธีการเปิดบัญชีและท าความรู้จักลูกค้า (Know Your Client: KYC) ด้วยวิธี อิเล็กทรอนิกส์ (e-KYC) อย่างไรก็ดี
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
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
broker; (2) “institutional client” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life insurance