Facebook Page ชื่อ Professional stock trading : Unlicensed securities and derivatives business (Disclosure Date : 13/12/2023)
Facebook Page ชื่อ Professional stock trading - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 13/12/2566)
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO). The SEC investigation, following a referral from the Stock Exchange of Thailand
company’s Trading Rules as approved by the SEC Board and its deposit/withdrawal service for digital assets with professional care to increase protection of its clients’ assets and ensure continuing services
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
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
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