According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
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) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
, however, bear the constraint which result in the inability to remediate and resolve the findings from the previous inspection cycle. Regarding this matter, theSEC proposes the following recommendation as a
type of audit firms - 23 - adequate policies on the restriction and
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
accounting standards and the internal control environment. - Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in
as government legislation gives boost to the recycling industry, with the major constraint being adequate collection of raw material. The recognition by our customers of PET’s beneficial properties
Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of the outstanding investment units is to promote the more extensive distribution of investment units. The
one position in functional drinks market for four consecutive quarters since Q3’18. Despite C-Vitt’s supply constraint as the production line undergoing maintenance for debottlenecking during May’19