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...
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
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
Increasingly, the public and listed companies begin to take interest in performing transactions related to digital assets in various forms such as investment in digital assets, accepting
Microsoft Word - Selling machinery in related company Our Ref: CEO 020/2018 9 November 2018 Subject Selling machinery in related company Attn. To President of the Stock Exchange of Thailand AgriPure
Thai Digital Asset Business Related Forms appendix × Home > กฎหมาย / กฎเกณฑ์ > สรุปกฎเกณฑ์ > ผู้
GIFT by accepting returns in cash and newly issued shares of GIFT. Additionally, RS will acquire existing GIFT shares from its related parties, i.e., a major shareholder by the name of Mr. Surachai
Thai Climate-related Risk Management for Asset Managers × Home > Sustainable Finance > Resource Center