consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

or not complying with any significant approval requirements for the offering of trust unit within the period of 5 years before applying for the offering; (2) pose no reasonable doubt to its ability to

reasonable to increase the flexibility in submitting the report to be in line with the operation procedures of the business operators, whereby the business operators may request  an extension in submitting

competent officer without a reasonable cause or excuse. This case is in the process of inquiry by the inquiry official. DAB Act S.75 Criminal Complaint Filed with an Inquiry Official Dated 07/09/2022

of information requested by the competent officer without a reasonable cause or excuse. This case is in the process of inquiry by the inquiry official. DAB Act S.75 Criminal Complaint Filed with an

or GLH benefited from these loans or any reasonable grounds to believe it was done for the benefit of GL and/or GLH businesses. SEC Act S.281/2 paragraph 2 in conjunction with 89/7 89/24 311 and

operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders