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

true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

persons to sign on securities trading orders or other documents for themselves to prevent possible damage.  ____________________________  * Pursuant to Clause 23(1) and the

? 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

transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients.  SEC

basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on