client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
the client ’s asset which is under the following rules: (a) in case the client ’s assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Property Fund Manager