Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

carefully supervise their investment consultants to provide investment advice to their clients based on securities? fundamental factors. The investment consultants are also required to remind investors to

Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume.  He

on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading

Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the

, instructed DA operators in writing to disclose information and warn their clients about potential risks associated with the storing of digital assets on the operators’ websites and applications (30 December

The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as

operators had liquidity problems and risks exposure on their asset keeping, the SEC, on 30 December 2022, had therefore instructed DA operators to provide their clients with information disclosure and risk

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook