consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Zipmex Company Limited Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, has been failing to report a summary of the assignment of other persons to
The SEC?s new appointments are as follows: Name of Executives New Assignment 1. Mrs.Paralee Sukonthaman 1/ Director, Enforcement Department Director, Broker-Dealer Supervision
to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform
payment of subscribed shares as the consideration of the assignment of participation interests in Draugen Field and Gjøa Field in Norway to pay to Shell in accordance with the agreements regarding the
No. WHAUP-CS021/2017 2 October 2017 Subject: Notification of Information Memorandum of Related Party Transaction in Relation to Share Purchase and Taking Assignment of Claims in Loan To: President
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth