client assets, giving false information with the intention to deceive clients, and interfering with client assets. The SEC found Sugunya?s misconducts as follows: 1. Deceiving a client to transfer

broker, by itself or by assigning overseas derivatives business operator as agent, may provide client with service of submitting derivatives trading order in overseas derivatives exchange. Clause 4. In

investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in the request form for a change of client?s address in order to prevent such client from receiving

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc .. loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The

customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a

applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your