for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
and admitted having used a client?s inactive trading account with outstanding credit balance to trade securities. In doing so, she told the client that she had sent incorrect trading orders
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
official regulator; (4) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
investment decision making. Regarding the custody of client assets, the SEC suggested that securities companies adopt tighter measures, especially for the custody of client assets in the long-time inactive
significant customer expenditures in the last quarter of the year. Account payable days was at 166 days, declined from 187 days in FY22 Credit term and collection period The normal credit term granted by the