act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or

, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person authorized in writing from the

- Miss. Wu, Ping-Yi Type of transaction Technical Cooperation Agreement, is given by service providers. It’s technical data included design, design standardization, formula instruction, procedure and

. Yen, Ming-Shan - Miss. Wu, Ping-Yi Type of transaction Technical Cooperation Agreement, is given by service providers. It’s technical data included design, design standardization, formula instruction

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

This instruction follows CIG’s letter dated 4 September 2025 explaining details from its Board Meeting No. 7/2025, including supporting information on the Board’s resolution to acquire ordinary

client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC

2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the

that provide custody of clients’ digital assets to establish https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9827 SEC launches “SEC Crypto Academy” to offer free e-learning courses on digital

launches “SEC Crypto Academy” to offer free e-learning courses on digital assets A New Year Gift 2023 to the public, “SEC Crypto Academy” is designed as an online channel for the public to learn fundamental