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...

securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not

bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions

bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription

, starting from December 22, 2015.  On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization

consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015.  On other cases, Nattapon was found accepting orders to trade securities in a client?s account

from December 22, 2015.  On other cases, Nattapon was found accepting orders to trade securities in a client?s account from a person who was not the owner of the account without any written authorization

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

assets to be traded in the digital asset exchange. His failure to perform the required duty of his position resulted in the offence committed by BO concerning the listing of Bitkub Coin (KUB) for trading