the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
FORM 56-REIT1 : Annual Registration Statement (Attach Notification Tor Jor. 20/2561)
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities 3 Amended by the Notification of the Capital Market Supervisory Board No. TorThor
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading