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
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and
client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign