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...

Detecting Corporate’s Earnings Manipulation in Thailand Corporate Governance Attributes and Audit Report Timeliness: Mediating Role of Corporate Disclosure and Transparency and Moderating Role of

perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the engagement competently If yes, how this decision is reached and whether it is

firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the

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

issuance and offering of debt securities. Key areas of discussion encompassed the enhancement of information disclosure to investors, with a specific emphasis on augmenting speed, clarity, timeliness, and

the independence and objectivity of credit rating operations; Transparency and timeliness of ratings disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and

disposal of ordinary shares 01/03/2021 18:21 The progress of accepting repayment of loan and increasing of investment in All S Holding Co., Ltd. 05/01/2021 17:21 Connected transaction 17/08/2020 08:34 The

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