Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts. In addition, the draft regulation is expected to further clarify the scope of supervision of digita...

misappropriation of and interference with client assets. In addition, handling securities conversion for clients was beyond the scope of responsibilities assigned by her employer securities company. Sutthasinee?s

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

, held a joint meeting to discuss and exchange views on strategies for promoting, developing, and supervising digital assets, including the involvement of the government, the Thai Digital Asset

securities in the client?s account without authorization. His actions, authorized or arbitrary, were deemed interference with client assets, non-compliance with professional standards of conduct. In the case

the investor contact. The interference with the client?s assets and the offering of false information to the client with the intention to deceive are dishonest doings and contravene the standards

investor contacts, securities companies and investors themselves of the negative effects of asset interference and strongly advising investor contacts against committing such misconduct; otherwise, the SEC

unauthorized trading transactions in his account, to which Pojpraphan admitted to have made. His actions were deemed interference with client assets in violation of Clause 11(2) of the above Notification. The

another person?s bank account. Wittaya?s actions were deemed interference with client assets and performing duties beyond the scope of his responsibilities. Both sanctions took effect on August 7, 2008.

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands