failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment
A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
processes to accommodate customer business operation. 17 - K-Contact Center: We have developed numerous comprehensive service channels for enhanced customer convenience. KBank also worked with the Thai
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
processes to accommodate customer business operation. - K-Contact Center: We have developed numerous comprehensive service channels for enhanced customer convenience. The “Customer Feedback Management
bilingually, in Thai and English, for the public’s convenience. The SEC introduced the ESG Product Platform in January 2023 to make it convenient for market participants and the general public to access
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
in managing client accounts. There can be no assurance that an investment strategy will be successful. Historic market trends are not reliable indicators of actual future market behavior or future
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was