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
ตัดสินใจลงทุนได้ตรงกับความต้องการของตน โดยผู้จัดจำหน่ายหลักทรัพย์ต้องแจก fact sheet พร้อมใบจองซื้อ ณ จุดขาย ในขณะที่ผู้ขายต้องประเมินความรู้และความต้องการในการลงทุนของผู้ลงทุน (client suitability) ก่อนให้
derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
securities purchased for herself. She admitted to the client in the said conversation that she sold the client's securities. Using the client's account for her own securities trading and illegal use of the
documents and conducted client due diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client
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
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
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
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders