: Nattavut Kitprasert made unauthorized trading orders for his clients and intentionally bypassing the phone communication recording system when giving advice and taking trading orders by asking his clients to
decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
Bangkok, September 14, 2007 ? SEC Secretary-General Thirachai Phuvanatnaranubala is asking all relevant authorities to cooperate in clarifying the Shin Corp deal now under the Assets Examination
applicants asking to become digital token and cryptocurrency advisers will be set at 15,000 baht each, and license fees for digital token and cryptocurrency fund managers will be 500,000 baht each. SEC
avoided the compulsory recording of fix-line trading communication by asking her client to use mobile contact instead; 3. Artitaya Cheevathammarat (one-year probation) ? making trading decisions
products. 2. IFRS Convergence As the global market is moving toward convergence with the International Financial Reporting Standard, the IOSCO is planning to release a public statement asking member
trading account of his employer securities company and then asking the company to use the transferred amount as (1) clearing money for the securities he had purchased for himself through other clients
complete supplementary documents. The SEC therefore submitted to the DSI a letter giving information and asking for any information that could indicate otherwise. In this regard, the SEC has also asked the