transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
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
เพื่อให้ความเห็นหรือรับรองผลิตภัณฑ์ความยั่งยืนเป็นไปตามมาตรฐาน และช่วยลดต้นทุนแก่กิจการ โดยปัจจุบันมี Tris Rating Thailand ได้รับการขึ้นทะเบียนเป็น local approved verifier รายแรก ภายใต้ Climate Bonds
ทธิภำพ แนวปฏิบัติฯ ฉบับนี้ขอยกตัวอย่ำงตัวอย่ำงวิธีกำรที่เห็นว่ำ ช่วยลดควำมเสี่ยงได ้ กำรพิสูจน์ตัวตนลูกค้ำโดยทั่วไป ผู้ประกอบธุรกิจจะใช้กำรตรวจสอบ (verify/validate) ข้อมูลลูกค้ำ ด้วยกำรตรวจสอบหลักฐำนอ้ำ
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there