derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives
ประกาศแนวปฏิบัติ ที่ นป. 5/2562 เรื่อง แนวทางปฏิบัติในการนำเทคโนโลยีมาใช้ในการทำความ
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts
maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing
ordered Zipmex to suspend its business operations and return assets to its client or proceed according to their requests within 15 days. If any clients do not notify their requests or claim their assets
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
, resulting in client not receiving transaction related documents.The SEC has considered Mr. Soontorn’s actions to be a failure to perform his duties or provide services with honesty and good faith, involving