the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
F2 Trading Corp : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)