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...

for not less than three years and must not appoint any sub-selling agents;2.2 The selling agent can only perform the functions of (1) accepting account opening applications, (2) giving clients

meeting reached the following conclusions:  1.  The SEC re-emphasized that the mutual goal of all parties concerned is to develop and promote market efficiency and the compensation policy is only one of

are not subject to the SEC?s consideration. However, to help mediate dispute on the matters, the SEC will provide a forum for discussion among parties concerned. In seeking the solution, the SEC has

being informed of the correct information. For those who have already subscribed shares, if intend to cancel the subscription, can contact the securities firms accepting their subscription forms by

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

the principles of the proposed rules are reasonably in line with the views of practitioners, the SEC would like to invite all parties concerned to consider the consultative paper posted on the SEC?s

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

account of the referred client; 3. Accepting her clients? assignments to make trading orders on their behalf. Sugunya?s aforesaid misconducts were dishonest and unprofessional in violation of Clause