securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of
increased volume of international client and certain projects must be outsourced for parts of the projects >> Other expenses from electricity and network increases as a function of increasing headcount
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought