deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
accounts to transfer fund or digital assets in order to safeguard themselves from frauds. Investors are strongly advised to contact Bitcoin Co. Ltd. (BX) via its website at https://bx.in.th/ only. The
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
intermediary’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any) shall
Change of Details Concerning the Entire Business Transfer of Unicorn Enterprise Company Limited, Capital Increase, Issuance and Allocation of U-W3 and U-W4 Warrants, and Issuance and Offering of Newly