embezzling Baht 42 million from SECC share subscription account. This case is under consideration of the public prosecutor. SEC Act S.307 308 311 in conjunction with 315 Criminal Complaint Filed with an
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
closely monitoring the matter, the SEC has found that at around 08.30 hours on 2 September 2019, a suspicious Facebook account posted deceitful statements that misled the public to believe that such
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his