decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
make any transaction related to such assets to consider the matter thoroughly and cautiously by taking into account both expected interest and potential risks and impacts. In addition, directors and
sentiment driving the SET index and trading values to soar. The securities companies will be required to strictly and cautiously exercise their KYC/CDD and review of client credit line practices, especially
result of which failed to identify Wichai?s dishonest acts occurred in the following period of time. In addition, Jadesada did not cautiously verify the existence of Wichai?s assets claimed to be sold for
lacking of qualifications as specified by SEC. Mr. Thirachai Phuvanat naranubala, SEC Secretary-General stated that ?Even though most of listed companies do operate their businesses cautiously with
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any
considering the matter responsibly, cautiously and honestly for the best interest of the companies. In case of digital asset https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9024 < > > <