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...

identified by the SEC The recommendations for improvement Findings identified by the SEC The recommendations for improvement 3. Acceptance and Continuance of Client Relationships The process of accepting and

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

Performance T.K.S. Technologies Public Company Limited (“Company”) reported total revenues growth of 93% y-y in 2Q18 or THB 283 mil., primarily due to business combination consolidated Thai British Security

Inappropriate client acceptance assessments which resulted in the audit firms accepting engagements with risks that went beyond an acceptable levels; Lack of documentation on the background search of potential

growth of 60% y-y in 3Q18 or THB 226 mil., primarily due to business combination consolidated Thai British Security Printing Public Company Limited (“TBSP”) since April 4, 2018. Excluding TBSP, Company’s

., testing of information technology general control (ITGC), the essence of newly-revised financial reporting standards which address fair value measurement, business combination, consolidated financial

disposal of ordinary shares 01/03/2021 18:21 The progress of accepting repayment of loan and increasing of investment in All S Holding Co., Ltd. 05/01/2021 17:21 Connected transaction 17/08/2020 08:34 The

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