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...
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
Thai Asset Management Companies - info × Home > ผู้ลงทุน > แหล่งข้อมูลและช่องทางติดต่อสำหรับผู้ลงทุน
Thai Cyber Resilience - Risk Management × Home > Cyber Resilience > องค์ความรู้ > การบริหารความ
Thai HR Management Policy Report × Home > เกี่ยวกับ ก.ล.ต. > รายงานการดำเนินงาน > รายงานผลการบริหาร
Pecunia Asset Management : Unlicensed securities and derivatives business (Disclosure Date : 31/10/2022)
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management