indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client

legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC/CDD) (4

submitted a selling order for the first client?s investment units and deposited money obtained from the selling into a saving account she opened at Tisco Bank Plc., using the client?s signature that she had

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87

Sanction 1. Mr. Sakda Sangkul Managing client?s account and making decision to buy or sell securities for client without client?s order

prescribed rules. In this regard, Zipmex clients may contact the company’s customer service center** or make inquiries at the SEC Public Service Center via hotline 1207 press 8, or email: info@sec.or.th, or