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...
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
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
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
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
Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook
related to trading, depositing and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size
accordance with the resolution of the SEC Board Meeting No. 12/2565 on 1 September 2022. Essentially, the draft regulation would prohibit digital asset business operators from: (1) Accepting deposits of
trade of natural gas. In accepting the said right, the Company or its subsidiary shall purchase the entire shares of Hemaraj in Gulf WHA MT Natural Gas Distribution Co., Ltd. (“Gulf WHA MT”), a joint