derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

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

Commission, Thailand (“SEC”) is seeking public comments on the proposed principles and regulations concerning Digital Asset Custodial Wallet Providers to ease the requirements for these providers that has

promising technologies due to what could be transient limitations. For both these reasons, and in order to maintain simplicity at this early stage of the Standard, projects and products related to electrified

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

investor in the European Economic Area ("EEA") or in the United Kingdom (the "UK"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the