)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the

regulations of all daily routines. In addition, the know your client rule must be adopted to identify the client?s investment objectives and actual beneficial owners. Informing clients of risks that may arise

from the clients? trading accounts, using a client?s account for securities trading of another client to avoid exceeding credit limit, and making unauthorized trading decisions without clients? orders

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

client, client suitability, information disclosure, and clear and fair contract rules are all required. This is to assure that all derivatives fund managers will have the same minimum standards in

without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)