misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice
debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
complaint has not yet been finished within such period, the securities company shall retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice, accepting of trading orders
finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice, accepting of trading orders
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the