Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
Mr. Harnrit Hansen On May 13 -14, 2010, Mr. Harnrit Hansen, a former director of L.V. Technology Public Company Limited (LVT), sold 711,300 shares of LVT through an account of his own company in
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
for their own benefit or others. SEC Act S.133 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 40/2024 Dated 13/05/2024
), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311