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
: - have robust checks and balances mechanisms in place in every critical business system; - have effective business continuity management and plans; - have a customer onboarding and Know Your Customer
effective date of the regulations; (3) Business operations standards : Requiring DA operators to: - have robust checks and balances mechanisms in place in every critical business system; - have effective
have strong financial product knowledge. Moreover, financial product advertisements are subject to the regulations so the advertisements must not distract or lure the customers and cause misleading about
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
policymakers and government authorities to facilitate such developments. 24 © International Corporate Governance Network (2014) 13.0 Conflicts of interest 13.1 Policies Institutional investors should have robust
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
Mr. Harnrit Hansen On May 13 -14, 2010, Mr. Harnrit Hansen, a former director of L.V. Technology Public Company Limited (LVT), sold 711,300 shares of LVT through an account of his own company in