Management Name : Mrs YUWADEE CHIRATHIVAT | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 21/12/2015
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
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
Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for