submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A

securities in a client's account without evidence of the client's orders, causing damage to the client. Findings showed that the client had agreed for {B} to manage the client's account but he failed to inform

Following the referral from the Stock Exchange of Thailand (SET) in September 2023 and the SEC’s further investigation, the findings and evidence indicated that during 1–13 June 2023 the four

; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3. The Office of the Securities and Exchange Commission shall consider and notify, the

evidence showing that the service provider has sufficient qualifications as specified in Clause 3. The Office of the Securities and Exchange Commission shall consider and notify, the result of its

service provider; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3. The Office of the Securities and Exchange Commission shall consider and

pays the application fee and submits the payment evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1F into the process of granting approval. 1 day Accounting Supervision

electronically by us under 1.2 can be referred to as evidence in legal proceedings and we shall not deny the existence of such information only because it is in an electronic form. 2 . We acknowledge and agree

the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment

was no evidence that the client had ordered the responsible investment consultant to do so.    Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct