securities company approves to lend money for purchasing securities or lend securities for making a short sale to any person, it shall proceed as follows: (1) determine a maximum limit at which a client may be

the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount

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

authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of

any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in

customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of derivatives broker from

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

Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint