Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders.  Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to

SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of

abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments

accurate and updated records of clients’ assets; and   (3) Seeking benefits from clients’ fiat money shall be prohibited except in the form of deposit with commercial bank(s). In this regard, digital asset

proceedings dated 29 July 2022 on its website at www.zipmex.com. The SEC has therefore instructed Zipmex to inform its clients deemed to be its creditor of the update and facilitate the clients’ exercising of

the information on the clients’ assets under its custody. The exchange is also required to show evidence on the investments of the clients’ digital assets that had been deposited with ZipUp via various

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts  without executing the transactions that the clients had made. Besides, she made false evidence by forging

operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the

into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the