negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
; (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
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