27/2549 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending (No. 4) dated 25 October 2006. (Translation) -3- prior written consent of its customers. If the business operator or
consent of its customers. If the business operator or accepted by the business operator puts up or receives cash collateral for the benefit of the customer, the business operator may invest such collateral
different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual fund (RMF) to a client; she recommended that
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “institutional client” means a person who makes transactions with a securities company in securities
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth