intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
leveraging of our strength as Thailand’s number-one digital banking provider, with the aim of becoming the Customers’ Life Platform of Choice under our core strategy of Customer Centricity for our business
the client. Over a year and a half, a number of orders were day trading and submitted almost every day in the speculative trading pattern by {A} who had determined the securities, amount and price. The