Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

ซื้อขายล่วงหน้าทุกแห่ง      ที่ กลต.นพ. (ว) 14/2559 เรื่อง การเปลี่ยนแปลงการกำหนดระดับ early warning    

comply with the Bank of Thailand’s regulations and directions.  Early warning signs were developed with the use of transactional data and customer behavioral data for enhanced efficiency in customer risk

KBank.  Monitor customers’ credit line utilization and customer status via early warning signs. Guidance has been provided for Relationship Managers (RMs) to contact customers at an early stage when

timely manner prior to deterioration of customers’ debt servicing capability and overall credit quality of KBank.  Monitor customers’ credit line utilization and customer status via early warning signs

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered.   SEC

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so