Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
The SEC, with the approval of the Capital Market Supervisory Board during its Meeting No. 11/2566 on 20 November 2023, views that – given the original intent of the introduction of NVDR is to support
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
the client into believing that the balance in the relevant fund account remained intact, and subsequently cancelling such transactions; and (3) withdrawing cash from the account of Client 2 and (3.1
seek personal gain from the margin of such offering and trading transactions. However, the clients who had paid for their orders did not receive the purchased shares or such shares did not exist in the
persuaded clients to invest in funds and withdrew large sums of money from the clients’ accounts. However, she did not make any investment transactions in accordance with the clients’ intention and
. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account