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...

3 Definitions Certified Climate Bond: A Climate Bond that is certified by the Climate Bonds Standard Board as meeting the requirements of the Climate Bonds Standard, as attested through independent

continued to see limited support, after growing by 2.30 percent in the second quarter. The Thai economy did show some signs of strength in the third quarter, due mostly to the low base effect of the same

traction from the first quarter. The ongoing economic rebound was mainly driven by exports and tourism, whereas domestic spending and investment only gradually picked up. Still, the economy has yet to see

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

improved relations with workers, creditors, and other stakeholders. Better investor protection can lower the cost of capital and encourage companies to list and raise funds through equity markets. It is

following the policy rate increase by the US Federal Reserve, may see an economic slowdown during this quarter. Aside from their fragile economic fundamentals, these countries were vulnerable to capital

transactions via multiple platforms in a highly competitive environment. At the same time, the core business of loans is likely to see limited growth pending clearer signs of economic recovery. Home loan and

these inspections regularly communicated to ensure timely rectifications of any deficiencies found. Through such efforts, the SEC is now widely recognized as a trustworthy and effective independent audit