had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She
services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) of
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
number of customers and the investment amount of each client. Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most
. Suppakrit Boonsat, Director of the Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law