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...
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
regulation would prohibit digital asset business operators from: (1) Accepting deposits of digital assets from the customers and lending, investing, staking or employing such digital assets; (2) Accepting
ecosystem to ensure that investors have sufficient knowledge and understanding of the subordinated perpetual bond by (1) revising the risk acknowledgment form for clearer and easier presentation including
and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For further details of this
Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook