routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed. {A} also admitted
will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
services to a client, and (2) ongoing form for investment transactions such as subscription, redemption and switching. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages
into any transaction for a client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons
client with any particular counterparty more often than necessary. Chapter 2 Additional Rules on Transactions for Clients with Intermediaries or Connected Persons ______________ Clause 6 The following
) HK-TH-MRF official day of the year that such solicitations occurred. List of Restricted Assets Virtual assets, i.e. digital tokens (such as digital currencies, utility tokens, investment tokens, or
process and recommending suitable investment. (Suitability) Investing in primary and secondary markets is restricted for qualified investors with knowledge, experience and high net worth who can