revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B

without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

exchange rates as underlying products, representing itself as a branch office of a brokerage in Hong Kong, causing damage to investors who were induced to transfer their money to the company?s account.Such

than his/her risk tolerance level can do so after signing for acknowledgement of such higher risk level; 3. Requiring money market funds and fixed income funds with daily redemption feature to provide

loss and that investors should be aware that they may receive back less money than their initial investment. These firms must also obtain investors? evident acknowledgement of such warning before

not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

in news that the Crime Suppression Division (CSD) of the Royal Thai Police is investigating a crime of organized money laundering where the victim had been persuaded and allegedly conned out of

million or approximately 189.2 million baht as ASB Cambodia is planning to utilize the increased capital in developing Riel-based e-Money in its finance business such as mobile payment, E-money, QR code and