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...
Bangkok, June 4, 2009 ? The latest quarterly meeting with the Association of Investment Management Companies (AIMC) discussed the development and supervision of fund management business as summarized
. Such rules will place importance on risk management and internal control system, compliance system, prevention of conflict of interest, and qualified staff. In terms of investor engagement, know your
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
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Pecunia Asset Management : Unlicensed securities and derivatives business (Disclosure Date : 31/10/2022)
External User Accounts Management System (EXAM) ระบบบริหารจัดการบัญชีผู้ใช้งานบุคคลภายนอก External User Accounts Management System (EXAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below