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...

Detecting Corporate’s Earnings Manipulation in Thailand Corporate Governance Attributes and Audit Report Timeliness: Mediating Role of Corporate Disclosure and Transparency and Moderating Role of

to amend the granting of approval of directors or managers of securities companies for promptness to better meet the requirements of business sectors while maintaining the protection of investors from

Commission Remark: The reason for promulgation of this Notification is to: (1) improve the granting of approval of executives of derivatives business operators for promptness to better meet the needs of

perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the engagement competently If yes, how this decision is reached and whether it is

firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the

derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application

derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application

derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application