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...
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
43.99 million which resulted in TUCC’s Baht 104.86 million loss in Q2/2011. Mr. Yongyuth also gained the benefit from his suggestion. He gained such material non-public information by virtue of his
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
decreased to 0.85% when compared to previous year. It gained from the sales of low cost merchandise which was in higher portion. Total cost of sales and administrative expense were 618.64 million baht, it
trading shares in the SET. He also gained benefits from which his IFEC shares of more than 57.46 million used as the collateral for his margin trading were not subject to force selling. As a result, he
goods. Distribution cost and administrative expenses amount to Baht 108.53 million. It decreased Baht 14.12 million or equivalent to 11.51% which gained from the expenditure adjustment to the categories
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