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
for securities trading. Chapter 3 Communicating, Soliciting, and Giving Advice to Clients ___________________________ Clause 17 Paragraph 1 shall be repealed. In case of providing services to a client
. Chapter 3 Communicating, Soliciting, and Giving Advice to Clients ___________________________ Clause 17 6 Paragraph 1 shall be repealed. In case of providing services to a client with regard to trading of
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in
cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
derivatives trading; (c) [derivatives] trading information of the client and information on trading of the underlying asset by the client; (d) the information specified under (a), (b) and (c) of direct or
creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing and encumbrance for return asset which the company hold as a
creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing and encumbrance for return asset which the company hold as a