collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
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
in possession of BX were transferred thereafter https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8818 SEC bolsters FinTech legislation to facilitate development and wider use of financial
out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8818 การกำหนดให้การให้บริการระบบ
under control or in possession of BX were transferred thereafter https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8818 SEC eases rules on establishment of audit committee of securities companies
assets which remained under control or in possession of BX were transferred thereafter https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8818 SEC bolsters FinTech legislation to facilitate development
, 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
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant