without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

planned to lift suitability test standard to facilitate business operators and investors. The standardized suitability test will be used for investment in all types of the capital market products including

The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside

necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen burdens on people. By doing so, methods used must be done

by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

obstacles to living or occupations will be abolished or revised to lessen burden on people. By doing so, methods used must be done with speed, transparency, low costs with participation from all related

expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to shut down fraudulent contents or channels used for investment scams. Under this initiative, the SEC has

bondholders’ representative appointment agreement by revising and standardizing a widely used appointment agreement to offer convenience and cost reduction for bond issuers in establishing a standardized