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...
organization receives totally 3 awards, as follows: 1. Digital Government Award, 3rd place out of 10; 2. Outstanding Organization on Government Data Governance Award (total 3
On 8 November 2023, JKN filed a petition for business rehabilitation with the Central Bankruptcy Court. The Court issued an order accepting the rehabilitation petition on the following day, resulting
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
company will continue to open the BX.in.th website only as a method for customers to contact the company about outstanding issues…” More details are available at https://bx.in.th/. With concerns of
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts