Liabilities for Resulting Loss When the Client establishes certain positions on derivatives, i.e. long futures, short futures and short options, he/she is obliged to perform its obligations under the contract
increased volume of international client and certain projects must be outsourced for parts of the projects >> Other expenses from electricity and network increases as a function of increasing headcount
capital market. Nonetheless, the SEC still identified certain deficiencies in the quality control system in this inspection cycle such as rotation of auditors, insufficiency of human resources, completeness
annually in arrear on 31 July in each year, and for the first time on 31 July 2021 for the period from and including the Issue Date to (but excluding) 31 July 2021. If certain sustainability targets are not
}, following a report from Krungsri Securities Plc., the SEC probed into the case and found certain communication record, indicating that he had been authorized by his client to make securities trading decisions
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...
for a certain period of time and with high trading volume. Moreover, {A} admitted that he traded securities for a client without any order. Although this client notified him to stop trading, {A