account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further
Following a report from KTB and the SEC’s further investigation, it was found that during the period from 2024 to 2025, Miss Wannapat misappropriated the assets of two clients in the total amount of
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
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, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to...
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
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
1property fund and REIT in terms of return, investment policy, and fee as well as tax impact. The Type 1 property fund must sell the assets to newly-established REIT for an exchange of unit trusts and the
issuers, related intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor