IFEC’s legal advisor - Phoenix Advisory Services Company Limited at 080-933-4477. _______________________ Remark:  * Notification of the Official Receiver regarding the Order for Business Rehabilitation

investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he

://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 178/2022 Dated 11/11/2022 with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board

users of Z Wallet on the digital asset http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 1/2020 Dated 23/01/2020 provided in the Office?s electronic work system to all

of client without order, and using the client's account for his own benefits. He was an employee of Maybank Kim Eng Securities (Thailand) Plc, while the misconduct occurred. Following the client's

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording

... TRANSLATED VERSION As of November 23, 2011 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of

... TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of

TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the