the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
service personnel by a major client, due to COVID 19, and is expected to recover in the near future. This client has recently listed our company in their formal vendor registry, plus we have added new major
started and would be completed in the similar time periods. This caused work overload and shortage of skilled workers Q4/2018 and into Q1/2019, resulting on cost overrun. And another reason is a one-time
. Execution of Agreements for Management of Private funds or Provident Funds 1.1 Provisions for the management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a
. Execution of Agreements for Management of Private funds or Provident Funds 1.1 Provisions for the management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a
such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign