investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several
: Relevance Date (Newest) Date (Oldest) ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data” means data that are created, sent
collateral from derivatives account and transferred it to the ATS account to be in line with the fraudulent transactions. In addition, he transferred the client?s deposits for the company to other clients
money from the account owners to pay for their trading. With their continued misconduct for a long period of time {A} and {B} gained a lump sum amount of profit from commission fees from their trading
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
. The auditor was also unable to review and audit other accounts, such as, inventories, account receivables, property plant and equipment, loans from financial institutions, accrued expenses, collateral
account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further