client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
complaint lodged by a client on {B}'s actions. The report indicated that {B} sent trading orders through client's account without evidence of trading orders from clients, which caused damages to the client
approve the appointments of : 1. Mrs. Natsarak Sarochanunjeen Certified Public Account Registration No.4563 2. Mr. Chaiyuth Angsuwithaya Certified Public Account Registration No.3885 3. Miss Jarunee Nuammae
eighty Baht). 5. Approved to propose the Annual General Meeting of shareholder to consider and approve the appointments of : 1. Mrs. Natsarak Sarochanunjeen Certified Public Account Registration No.4563 2
the appointments of : 1. Mrs. Natsarak Sarochanunjeen Certified Public Account Registration No.4563 2. Mr. Chaiyuth Angsuwithaya Certified Public Account Registration No.3885 3. Miss Jarunee Nuammae
as the definition of “institutional investor” under Section 3 of the Derivatives Act B.E. 2546 (2003) and related notifications issued by virtue of such law; “margin account” means an account which
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
from 1 July 2000. Clause 2. The following notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. KorThor. 35/2540 Re: Preparation of Securities Account dated 1
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of