, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
contact the client via the phone number given by the client, and (c) the back office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3
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
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Electronic Transaction Testing Page This page can help to ensure that your environment is ready for digital signing and submitting e-form to SEC
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
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
in proportion to the value of any short sale transaction prior to making such short sale transaction, as the case may be; “client’s excessive assets” means assets of any client which exceed the amount
notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example: - The operation system shall have in place a client