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
https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6174 SEC imposes penalties on AEC and its executives and investment consultants upon the client?s asset , (3) use of the client?s trading account to
trading account to trade https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6174 SEC imposes penalties on AEC and its executives and investment consultants upon the client?s asset , (3) use of the client
: • significant changes in the client (such as ownership , management, nature of business or financial position https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx Excel_Tool_Thailand_Taxonomy_ENG.xlsx