informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
; (15) any other person specified by the Bank of Thailand as having a permission to invest in outbound products , as prescribed by the SEC Office. Clause 14 3 In providing services to a client who is a
specified by the Bank of Thailand as having a permission to invest in outbound products, as prescribed by the SEC Office. 7 Clause 143 In providing services to a client who is a juristic person incorporated
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
deposit slip with the name of another client who was related to himself. The transferred money then paid for the related client?s trading transactions, subscriptions for on-the-counter securities, and
Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as