derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the

in his capacity as the responsible person for the operation of Zipmex, which included ordering or acting and omitting to order or failing to act in any way that caused Zipmex to commit offenses in

the joint venture with AG Thonglor 16 Co., Ltd., where ALL was claimed under a joint venture agreement for failing to transfer ownership of land and buildings worth 885.75 million baht to the joint

those failing to comply with the law may be imposed with legal action.”  On 2 July 2021, the SEC filed a criminal complaint against Binance,* a foreign digital asset business operator, for providing

Thianthong, Vice President, Marketing, Commercial and Supply at the time of the offense, on account of failing to perform duties with responsibility, due care and loyalty as director or executive of

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Bangkok, 2 December 2016 - The Criminal Fining Committee has imposed a fine of 5,560,000 baht on {A}, a former director of Jasmine International Public Company Limited (JAS), for failing to perform

) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as