client, the local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR

, misappropriating and defrauding client assets, and performing duties unethically. The revocation has taken effect since September 15, 2007. According to the SEC findings, Siwakorn?s misconducts against

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

consultant.Thereafter, {D} told {F} and {G} to find a client to purchase the acquired PAO shares where {H}, another investment consultant, was brought into the picture. {H} then solicited and gave unprofessional advice

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening

Your Customer and Customer Due Diligence : KYC/CDD") บกพร่อง ทำให้มีความเสี่ยงที่ลูกค้าอาจจะมิใช่เจ้าของบัญชีหรือผู้รับประโยชน์ที่แท้จริง พ.ร.บ. หลักทรัพย์ฯ ม.133 วรรคสอง การประชุมคณะกรรมการเปรียบ

sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and

, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of