10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a

, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients

Currently, there are no licensing regulation for digital asset custodial wallet providers in Thailand. Thus, a digital asset business operator who performs safekeeping of clients’ digital assets

securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

behalf of clients was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved