from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

Seamico Securities Plc. (ZMICO), a client filed a complaint that securities in her account had been lost and the SEC?s investigation revealed that Pimon had made unauthorized sales of securities in such

of Shareholders No.1/2021 to electornic meeting (Adjust Template) 05/01/2021 18:27 Notification of the change of Meeting venue and change a method of convening the Extraordinary General of Shareholders

stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows:           (1) To adjust the frequency of submitting IT

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the

from the clients? trading accounts, using a client?s account for securities trading of another client to avoid exceeding credit limit, and making unauthorized trading decisions without clients? orders

client, client suitability, information disclosure, and clear and fair contract rules are all required. This is to assure that all derivatives fund managers will have the same minimum standards in