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
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
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 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
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