Company Limited (TKN), has changed his securities holding through Miss Thitirat Panuvatvanich’s and Mr. Jakkaphan Sardpreechar’s securities trading account. In this regard, Mr. Nutchatpong has the duty to
available to provide services with respect to the trading or exchange of digital assets for its own account in the normal course of business outside the digital asset exchange. Additionally, 1000X has
trading in his sister’s account opened with the RHB and did not return the money to investors as agreed, causing damage to the investors.Phisit’s misconduct, using clients’ trading accounts to seek
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Office of the Securities and Exchange Commission Notification of the
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
purpose of both investment and working capital. The aforementioned transaction is in accordance to Notification of the Capital Market Supervisory Board No. Tor Chor. 20/2551 “Rules on Entering into Material
September 30, 2019. Connected Transaction The transaction is considered as a connected transaction according to Notification of the Capital Market Supervisory Board No. Tor.Jor.21/2551 Re: Rules on Connected
by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the