trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards accepted by the Anti-Money Laundering Office.As a result of the application rejection, Coin Asset
ตัดสินใจลงทุนได้ตรงกับความต้องการของตน โดยผู้จัดจำหน่ายหลักทรัพย์ต้องแจก fact sheet พร้อมใบจองซื้อ ณ จุดขาย ในขณะที่ผู้ขายต้องประเมินความรู้และความต้องการในการลงทุนของผู้ลงทุน (client suitability) ก่อนให้
Ratchanee, and Krisda, using the information that Apichart obtained from acting as a chief legal counsel for the client in acquiring KARAT?s shares from its major shareholder and launching a tender offer to
relevant associations to be aware of their role and duty to educate the clients. To begin with, conducting know your client assessment on knowledge and understanding as well as risk appetite and giving
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
markets. The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
- conditioned buses as well as the advertising media in MRT system; (2) Classic Media; (3) Dynamic Media; (4) Retail Media; (5) Airport Media; (6) Online Media; and (7) Engagement marketing. Juristic Person