issuers, related intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor
dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
On 15 August 2023, the Capital Market Supervisory Board Meeting No. 8/2023 passed a resolution approving the principles and draft regulations related to protection of derivatives business customer
Company Limited (LIVE)) and their associates, in the total of nine persons, with the Department of Special Investigation (DSI) on account of jointly committing dishonest acts to misappropriate TRITN assets
while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation