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
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
executives. The visit aimed to facilitate the exchange of knowledge and experiences regarding the oversight of digital assets in Thailand and Malaysia. This initiative is part of the collaboration under the
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing
perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
The SEC has initiated an issuance of a notification stipulating rules, conditions and procedures for collecting, disposing, and distributing REIT assets, based upon the Notification of the Capital
On 15 August 2023, the Capital Market Supervisory Board Meeting No. 8/2023 passed a resolution approving the principles and draft regulations related to protection of derivatives business customer