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
capital market products ; (4) considering ability of the client to perform in respect of servicing agreement. In case of provident fund as the client , the intermediary only assesses suitability as
. receiving a gift or other benefits from the client , servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other
other benefits from the client, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order
other benefits from the client, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order
agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing] contract or agreement: (1) derivatives
agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing] contract or agreement: (1) derivatives
client at the time of making [servicing] contract or agreement: (1) derivatives agents; (2) derivatives dealers, unless the clients are institutional investors under Section 3 of the Derivatives Act B.E
following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any client at the time of making [servicing