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...
investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles
enhance customer convenience and to reduce travelling time to purchase the products. As of March 31, 2021, the Company has over 15 off-site pop-up stores distributing over 8 provinces including Bangkok
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
introduced customized financial services and innovations that provide greater customer convenience, speed and reliability with ever-greater consideration of consumer protection and customer privacy. Being
that provide greater customer convenience, speed and reliability with ever-greater consideration of consumer protection and customer privacy. To secure our status as a leading financial institution which
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders