trading in his sister’s account opened with the RHB and did not return the money to investors as agreed, causing damage to the investors.Phisit’s misconduct, using clients’ trading accounts to seek

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

? interest, and represent retail investors in making legal claims should there be any disputes or damage arising from unlawful conduct. In this regard, the TIA needs to strengthen its publicity and credibility

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market

losses on financial assets to cover expected future damage. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

to pay 60.5 million baht to the computer company but not receiving any benefit in return and thus suffering damage. Bee?s misconducts were aided by Woraset Unyakowit (currently named Thanachai

addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding

25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC