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...
engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and accuracy of orders, and can be
management company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for
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
deficiencies in those elements. - Conduct proper resource planning prior to accepting the engagement to ensure that the human resource to deliver quality audit would suffice. - The firm’s leaders constantly
the same period of the year earlier and has gross profit margin of 31.89%. because the company has improved the structure within the organization. The company has administrative expenses of THB 3.56
Attn : The Directors and The MAI Manager Ref: Dimet AC 1802/001 February 13, 2018 Attention: The Directors and The MAI Manager The Stock Exchange of Thailand Subject: Report on improved Q.2’s