Facebook Page ชื่อ Digital Advancement : Unlicensed securities and derivatives business (Disclosure Date : 07/05/2024)
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Thai Digital Asset Association, led by President Nares Laopannarai, held a joint meeting to discuss and exchange views on strategies for promoting, developing, and supervising digital assets, including the involvement of the government, the Thai Digital Asset Association, and Thailand digital asset community. The joint meeting took place at the SEC building on 26...
Facebook Page ชื่อ Digital Advancement - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 07/05/2567)
SHARE : SEC and Thai Digital Asset Association in collaborative discussion to strategize digital asset advancement and oversight Tuesday 26 December 2023 Documents SHARE : Building Confidence in the
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action