their professional roles are concerned, to ensure sustainable returns for their clients. In addition, to earn a recognition for good corporate governance practices, an institutional investor should put in

draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients

report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's

for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex

Mr. Ravi Pattiyawongse Between 2000 and 2001, Mr. Ravi Pattiyawongse with other alleged persons operated securities brokerage businesses, soliciting foreign clients to invest in securities, in

advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC

Zipmex Company Limited Between July and September 2022, Zipmex Company Limited ("Zipmex") failed to comply with the competent officer's orders requesting Zipmex to deliver information

;s orders requesting him to deliver information about Zipmex's business and operations such as electronic wallets for keeping and maintaining assets of its clients and details and explanations of

Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business