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

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

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

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

by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become

. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and

Public Company Limited 49,433,806 8.65 4 Nomura Securities Co Ltd-Client A/C 23,344,331 4.08 5 Unicentral Company Limited 21,218,182 3.71 6 Smbc Nikko Securities Inc. - Client Account 20,220,550 3.54 7 Mr

the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In

selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under

company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF. In this regard, the securities company shall comply with the rules as