account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market

Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies

and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

The Capital Market Supervisory Board (CMSB)’s Meeting No. 4/2021 dated 16 March 2021 passed a resolution approving in principle the regulatory revision following the cooperative plan of the BOT’s

SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the

Board will consider and select applicants deemed suitable for nomination as the Secretary-General, taking into account their knowledge, experience, capital market expertise, and personal qualities.The

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the

January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities market investment consultant for a period of three months. Taking into account that he has already been suspended by

or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement. Satang’s offence was resulted from