information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different
money from the account owners to pay for their trading. With their continued misconduct for a long period of time {A} and {B} gained a lump sum amount of profit from commission fees from their trading
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives
(2016). In the case of Preeya, she assisted or facilitated Woraphant in his wrongdoing under Section 242(1), which was in violation of Section 315, in conjunction with Section 242(1) and subject to the
of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the
/EN/Pages/DIGITALASSET-NEWS.aspx English (United States) Market Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does
analysis, applying AI and Machine Learning technologies to detect irregular transactions, and improving the effectiveness of misconduct prevention and investor protection.In 2025, the SEC will continue to
benefiting himself or others through such misconduct. This is a violation under Section 89/7, with penalties stipulated in Section 281/2, Paragraph 1, of the Securities and Exchange Act B.E. 2535 (1992), and
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed