, 2021 Market risk: identified changing customer behaviour towards low-carbon products, and reduced demand for higher carbon products and services. Reputation risk: identified growing expectation from

trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor

adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

 {A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

found to have made trading decisions for one of his clients without any evidence of the client?s orders or his giving of investment advice. Similarly, Weeraparn was found to have made decisions to send

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the