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...
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
financial information is the foundation of a strong capital market, accounting professions in Thailand, such as accountants and auditors, play a critical role in providing reliable financial reports to the
government puts an effort to achieve 100 percent electrification by 2030 by increasing energy access in rural areas and securing reliable supply in urban areas and Special Economic Zones (SEZs) through joint
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be