into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
Olymp Trade or Application "Olymp Trade" : Unlicensed digital asset businessUnlicensed securities and derivatives business (Disclosure Date : 28/01/2023)
Olymp Trade or Application "Olymp Trade" : Unlicensed digital asset businessUnlicensed securities and derivatives business (Disclosure Date : 28/01/2023)
Website MP Trade : Unlicensed securities and derivatives business (Disclosure Date : 24/07/2023)
Website MP Trade : Unlicensed securities and derivatives business (Disclosure Date : 24/07/2023)
Global Trade Finance : Unlicensed securities and derivatives business (Disclosure Date : 17/09/2024)
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments