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...
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
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
related to trading, depositing and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size
, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive
sustainability policy themselves. The capital market and the economy as a whole could benefit a great deal from this positive environment.?The public and those interested in becoming a signatory to the I Code can
late 2018. Most stakeholders from the business sector and the mutual fund industry generally submitted positive responses supporting the principles. The amendments drafted under the principle-based
among digital asset business operators while facilitating more efficient operation of digital asset fund managers. A public hearing on the proposed amendment showed unanimously positive responses.The SEC
public awareness on life plan. The program aims to help support sustainable development in Thailand. SEC Secretary-General Vorapol Socatiyanurak said the SEC launched ?Money Mun-D? to build positive