taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of

equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the

The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well

employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and

? trading values and volumes and lure the general public to trade such shares.The aforesaid actions were deemed manipulation of TYM share price in violation of Sections 243(1) in conjunction with 244 and 243

CMO shares acquired during the latter period.The aforesaid actions were in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), the Settlement Committee therefore imposed

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market