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
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ในหัวข้อ “Easy listening: เกร็ดความรู้ด้านบัญชี ที่ AC ไม่ควรพลาด EP.2” เพื่อเสริมความรู้ความเข้าใจให้กรรมการตรวจสอบ
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
/starttogrow) for SMEs, Startups and interested public. The presentation and functionality of this microsite focus on the simplicity and nice-looking features and contains easy to understand contents. It is
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ในหัวข้อ “Easy listening: เกร็ดความรู้ด้านบัญชี ที่ AC ไม่ควรพลาด” เพื่อเสริมความรู้และความเข้าใจให้แก่กรรมการตรวจสอบ
of securities to prevent excessive burdens on debt issuers; (3) Revising regulations to be clearer, concise and easy to understand. The consultation paper is available at https://www.sec.or.th/TH