) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
Platform BTCBOX Exc and OASIS Exc : Unlicensed digital asset business (Disclosure Date : 28/01/2022)
The ESG Product Platform is an information center for sustainability financial products, developed by the SEC to provide convenience to participants in the capital market, such as companies
Double MS Genius Platform Co., Ltd. : Unlicensed digital asset business (Disclosure Date : 23/04/2024)
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
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives