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...
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
Total outstanding units Y1 Y2 Y3 Y4 Y5 Y6 Hence : ( X1 + X2 + X3 + X4 + X5 ) Y1 19.1.3 Actions required upon the specified causes for the dissolution of funds: (1) Cease to accept
Total outstanding units Y1 Y2 Y3 Y4 Y5 Y6 Hence : ( X1 + X2 + X3 + X4 + X5 ) Y1 19.1.3 Actions required upon the specified causes for the dissolution of funds: (1) Cease to accept
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
in one place. Consequently, the SEC will cease the calculation and disclosure of Turnover List on the SEC website. The last calculation date is July 10, 2015. The SEC has cooperated with the
asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
and/or digital tokens of which are liable to be approved by SEC. Therefore, investors are advised to be skeptical if being solicited to invest with DB Hold. SEC has notified DB Hold to cease any
investment plan in significant portion of common shares issued by Sammakorn Plc. (SAMCO). The transaction would turn the fate of {X1} Company amidst a crisis causing cease of its core business operation at