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...
Vulcan Coalition Company Limited Vulcan Coalition Company Limited failed to prepare and submit the result of the convertible debenture sale report to the SEC Office within October 15,2020 which is
Mr. Niran Pravithana Mr. Niran Pravithana, a Director for the operation of Vulcan Coalition Company Limited, shall be liable for Vulcan Coalition Company Limited’s failure to prepare and submit 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
follows: Certified Companies of Thailand's Private Sector Collective Action Coalition Against Corruption LH Financial Group Public Company Limited, Land and Houses Bank Public Company Limited and Land and
Bangkok, August 29, 2014 ? SEC supports commercial banks to emphasize on social responsibility and join Collective Action Coalition (CAC) by aiming to obtain the CAC certifications by 2015.Chalee
Coalition Against Corruption programme ( Thai CAC ) under Thai Institute of Directors (as of June 30, 2024) are categorised into: companies that have declared their intention to join CAC, and companies