. 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

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

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 the client in acquiring KARAT?s shares from its major shareholder and launching a tender offer to delist KARAT from the Stock Exchange of Thailand (SET), before the information was disclosed to the

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

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

trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives

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