.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
an investment account online. Starting from 9 November 2020, 6 securities companies and 4 asset management companies are ready to provide the online account opening service via NDID for customers
International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
trading account to buy 9,000,000 ESTAR shares based on inside information he learnt as the CEO. Such information was about the company?s Q4/2013 performance with significant increase in revenue and profit
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Q1/2012 operational result with 67.14 million baht net profit. Later, during August 8 ? September 13, 2012, he purchased CMO shares through another person?s trading account based on the information