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...
ชื่อผู้ได้มา/จำหน่าย :?ARROWSTREET CAPITAL, LIMITED PARTNERSHIP | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 19/10/2553
ชื่อผู้ได้มา/จำหน่าย :?ARROWSTREET CAPITAL, LIMITED PARTNERSHIP | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 08/07/2552
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
partnership with the CFA Institute and CFA Society Thailand in 2023 - to promote the integration of climate-related risk into equity analysis and investment decisions which will help to allocate the
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