customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a

applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the

to increase traffic of customer. Also, change the tenant mixed to suit with each location which has been well accepted by client. The Company cooperated with the Number 1 Operator in Thailand to push

investor contact for six months as from June 23, 2011. In case of Kruawan, the SEC received the report from United Securities Plc., on its investigation which was conducted upon complaint lodged by a client

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

also publicly disclosed Nongan Saetung ' s inappropriate acts. The Theera Chaowanapreechasilp case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives

)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and