financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
headlined: “SEC files criminal complaints against 25 former IEC executives and associates for fraudulent acts and exploitation of the company’s interest” published on 31 October 2017: https://www.sec.or.th/EN
}'s account. Therefore, it was deemed that {B} had used the trading account of the client to trade securities for himself.The misconduct of {A} and {B} was an exploitation of investors' trading accounts
exploitation of third parties and liable to the offences under Section 241 and the punishments under Section 296 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), which were in force at the time of
influenced the securities price. The act was deemed an exploitation of third parties and liable to the offences under Section 241 and the punishments under Section 296 of the Securities and Exchange Act B.E
assets, protecting investors from frauds or exploitation, and preventing money laundering.Regarding digital token offering, the Digital Asset Business Law requires filing of the registration statement and
accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint
clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek
at setting a foundation to formulate a three-year strategic plan for 2016 ? 2018. The plan will include a study on market structure weakness conducive to exploitation and abuse along with enabling
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the