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...
aims to promote ASEAN capital markets as a driving force for sustainable development and an investment destination recognized by global investors in line with the concept of Advancing Partnership
2019 Chairmanship, “Advancing Partnership for Sustainability”. The ACMF Deputies’ Meeting also discussed on the possibility to accept the Philippines as a new member of the ASEAN CIS to further promote
-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในหัวข้อ “Advancing Policies and Enabling Environment” ของงาน WeEmpowerAsia Virtual Forum
Representative UNDP Thailand, along with the UNDP team to explore potential collaboration between UNDP and the SEC, demonstrating a shared commitment to advancing sustainability in the Thai capital market in
conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply
our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed