Activity report 2015 En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 Contents Executive Summary

Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel

Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel

Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary

Test Activity Test Activity Test Activity

Activity report 2017 CAPITAL MARKET FOR ALL ÃÒ§ҹÊÃØ»¡Ô¨¡ÃÃÁ¡ÒõÃǨ¤Ø³ÀÒ¾§Ò¹ÊͺºÑÞªÕ 1 Á¡ÃÒ¤Á 2560 - 31 ¸Ñ¹ÇÒ¤Á 2560 ÃÒ§ҹÊÃØ»¡Ô¨¡ÃÃÁ¡ÒõÃǨ¤Ø³ÀÒ¾§Ò¹ÊͺºÑÞªÕ 1 Á¡ÃÒ¤Á 2560 - 31 ¸Ñ¹ÇÒ¤Á 2560 º·¹Ó

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...

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 01/07/2005 - 20/07/2005

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...

SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in