orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep  tape evidence of all investment advice and a client's securities

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile

mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit

only (cold wallet) less than 90 percent of the customer's total digital asset value and did not deposit http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 15/2022 Dated 27/07

than 90 percent of the customer's total digital asset value and did not deposit http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 15/2022 Dated 27/07/2022 Satang Corporation

than 90 percent of the customer's total digital asset value and did not deposit http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 15/2022 Dated 27/07/2022 Satang Corporation

indicating the customer's confirmation that he or she was the person sending the securities trading orders must also be included."      

Dated 11/01/2022 , kept customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) less than 90 percent of the customer's total digital asset

 from the existing and new customers. In turn, customer demand is affected by world economic growth and the customer's sales growth. The groups sales revenue are in foreign currency (primarily USD) and