Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
Orbix failed to keep customers' digital assets in accordance with the notification of the SEC for 121 days. In this regard, Orbix did not deposit customers' digital assets with digital asset
BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets, digital
liable for BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval