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
supporting the collection and assessment of customer information for Bitkub to operate its business efficiently. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement Committee Order No. 2/2021
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
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
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
company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters to the SEC on