through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information

1 Application for Termination of Company Account Date: ..................................................... Attn: Secretary-General The Office of the Securities and Exchange Commission (SEC Office

multi-factor authentication for the email account and the trading account of digital assets to reduce the risk of cyber attack on the accounts and passwords. Investors should also follow digital asset

derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker

account) ผู้บริหารบัญชีผู้ใช้งาน (account administrator) และผู้สนับสนุนการนำส่งข้อมูล (ผู้จัดทำหรือเตรียมการข้อมูล) กำหนดบุคคลที่เกี่ยวข้องในการนำส่งข้อมูลต่อ ก.ล.ต. ซึ่งต้องมีการพิสูจน์และยืนยันตัวตนตาม

SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a

who found that the client?s account was used for securities trading while the client was sick and did not trade any securities. Although forbidden by the client, Kruawan continued trading securities

care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for