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
work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC/CDD) (4
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
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign