to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
affected client. Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
to suspect the reliability, accuracy or completeness of the information or documents given by a client, the intermediary shall review and update such information without delay by taking the following
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
วันที่ 30 กรกฎาคม พ.ศ. 2565 พบว่า เว็บไซต์ของ ซิปเม็กซ์ กรุ๊ป (www.zipmex.com) ได้แจ้งข้อมูลความคืบหน้าเกี่ยวกับกระบวนการพิจารณา Moratorium (Update on Moratorium Proceedings) ลงวันที่ 29 กรกฎาคม 2565