1 Translation CEN 004-2019 February 27, 2019 Subject Management Discussion, analysis and business operation of year 2018 To The Manager and President The Stock Exchange of Thailand Yearly business
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
in the arrest of two directors of CAI and the seizure of CAI’s assets for alleged money-laundering offences. The SEC has found that ERX (operating under the trade name ‘KuCoin Thailand’), which
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
business thoroughly, causing incomplete disclosure in the filing concerning risk factors, conflict of interests, and trade mark.Akekajak?s actions were considered as failure to comply with the SEC Office
Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Reported by
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading