2021, the issue date of the SEC Board’s order. If the clients do not take assets back within deadline, Huobi is required to deposit the clients’ assets in a secure system
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
) Transaction Data, which include the volume and proportion of allocated digital tokens, the allocation price, the trading orders, the trading price and volume, and the transactions related to deposit, withdrawal
permitting the company to pay 45 million baht deposit for purchasing shares of a company higher than actual value, with evidence to believe that the beneficiary of the transaction was Ratchasak.As the said
study on asset allocation for retirement savings in a group of working age investors. The allocation was made among common stocks, bonds, bank deposit and gold in appropriate mix adjustable through life
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
agreements ? may hold such investments until maturity but are not allowed to make new investments in such instruments. ?Investors having securities or futures trading accounts normally deposit cash with the