consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015.  On other cases, Nattapon was found accepting orders to trade securities in a client?s account

referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the

referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the

reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

reference. Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

reference. Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been

with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such complaint has not yet been