have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
, Sakkarin tricked the client to believe that there were trading transactions in the client's account at Apple Wealth by showing fake trading documents to the client. Later, the client ordered to sell shares
the Notification of the Capital Market Supervisory Board * The SEC therefore has suspended their approval as investment consultant, with details as follows:Capital Nomura Securities: (1) {B
impose civil sanction on the eight offenders. In this regard, (1) PCL, (2) Pranay, (3) Manish and (5) Amit were ordered to pay a separate civil penalty of 500,000 baht while (4) PAPL was ordered to pay
/2564 viewed that Huobi had failed to rectify its work systems to comply with the governing regulations, as ordered even though the SEC Board granted many deadline extensions to Huobi, as requested
business outside the digital asset exchange, excluding the dealers who act in the manner as specified in the notification of the SEC. “digital token portal service provider” means a provider of an electronic
director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
consider a repurchase scheme whereby the bid price would be higher than the market price. He then ordered another purchase of 8,000 JASH1H16 Futures contracts on 2 March 2016 before JAS disclosed the
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s