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...
The afore-mentioned Capital Market Development Plan, acknowledged by the Cabinet on Tuesday, January 31, 2023, consists of the following five strategic directions for continued growth of the capital market which is envisioned to become: Strategic Direction 1 Capital market for competitiveness (Competitiveness), in which potentiality and competitiveness of all sectors in the capital market and economic system will be reinforced. Strategic Direction 2 Capital market accessible to all (Accessibili...
accepting any audit engagements; assess the firms? adequacy of human resources with sufficient skills, knowledge, and capabilities to deliver high quality audit work; and improve risk assessment criteria to
Recognising the crucial role sustainable economic growth plays in bringing about better living standards and inclusive economic development for all, in 2015 Thailand has adopted the United Nations
attempt to adapt to the ever-changing business environments and transactions that are becoming increasingly complex, it is crucial that accounting professionals, especially auditors, possess qualities that
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
quality control systems are more likely to produce high quality audits. In light of this observation, it is crucial that when audit committees select an auditor, the quality of the audit works and the
investments against an adverse market climate. In addition, new perspective in enhancing business competitiveness by improving financial and capital market environments was crucial for capacity building of Thai
transparency and efficiency is therefore crucial for achieving such goal. Amongst the diverse frameworks of the SEC for developing the Thai capital market is the strengthening of the competitive edge of the